The Resource Mutual funds and exchange traded funds regulation, edited by Clifford E. Kirsch

Mutual funds and exchange traded funds regulation, edited by Clifford E. Kirsch

Label
Mutual funds and exchange traded funds regulation
Title
Mutual funds and exchange traded funds regulation
Statement of responsibility
edited by Clifford E. Kirsch
Title variation
Exchange traded funds regulation
Contributor
Subject
Genre
Language
eng
Member of
Cataloging source
BNA
Characteristic
updating web site
Entry convention
integrated entry
Frequency
unknown
LC call number
KF1078
LC item number
.M882 (INTERNET)
Nature of contents
dictionaries
Regularity
unknown
http://library.link/vocab/relatedWorkOrContributorName
  • Kirsch, Clifford E
  • Practising Law Institute
Series statement
Practising Law Institute's corporate and securities law library
http://library.link/vocab/subjectName
  • Mutual funds
  • Exchange traded funds
  • Mutual funds
  • Exchange traded funds
Label
Mutual funds and exchange traded funds regulation, edited by Clifford E. Kirsch
Instantiates
Publication
Note
"32842."
Bibliography note
Includes bibliographical references and index
Color
mixed
Contents
  • v. 1: Fund formation and structure: An introduction to mutual funds, Fund formation, Capital structure -- Registration and disclosure: Prospectus disclosure and delivery requirements, Shareholder reports -- Regulation of the adviser and the fund portfolio: Regulation of the advisory contract, Regulation of advisory fees, Restrictions on investments, Effecting trades, Custody of mutual fund assets, Proxy voting, Protection against conflicts of interest, Personal trading activities -- Corporate governance: Board structure and processes, Shareholder voting -- Fund administration: Purchase and sales of mutual fund shares, Redemption fee rule, Practical considerations in dealing with valuation matters and correcting net asset value errors -- Marketing and distribution: Marketing material, Distribution, Distributing mutual funds through intermediaries: practical considerations concerning distribution through broker-dealers, fund supermarkets and retirement plans, Payments for distribution by open-end funds: practical considerations in structuring a 12b-1 plan, Regulation of mutual fund sales practices -- Compliance, inspections, and record keeping: SEC record-keeping requirements, SEC inspections, Compliance policies and procedures, Conducting and investment company/adviser compliance review, The role of the investment company chief compliance officer, Compliance calenders -- Other types of investment companies: Money market funds, Closed-end investment companies, Exchange traded funds -- Special topics: The Sarbanes-Oxley Act, Mutual fund anti-money laundering rules -- v. 2: Litigation under the Investment Company Act of 1940 -- ERISA issues for mutual fund advisers, The mutual fund market timing and late trading scandal of 2003, Mutual fund taxation, Mutual fund accounting and financial reporting
  • Effecting Trades
  • Custody of Mutual Fund Assets
  • Proxy Voting
  • Protection Against Conflicts of Interest
  • Personal Trading Activities
  • Board Structure and Processes
  • Shareholder Voting
  • Purchase and Sales of Mutual Fund Shares
  • Redemption Fee Rule
  • Practical Considerations in Dealing with Valuation Matters and Correcting Net Asset Value Errors; And Appendix 18A: Fund Policies and Procedures for Net Asset Value Error Correction
  • An Introduction to Mutual Funds
  • Marketing Material
  • Distribution; And Appendices 20A 20B
  • Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker Dealers, Fund Supermarkets and Retirement Plans
  • Payments for Distribution by Open End Funds: Practical Considerations in Structuring a 12b 1 Plan
  • Regulation of Mutual Fund Sales Practices
  • SEC Record Keeping Requirements; And Appendix 24A: Retention Schedule of Materials Identified in Rules 31a 1 and 31a 2 Under the Investment Company Act
  • SEC Inspections
  • Compliance Policies and Procedures
  • Conducting an Investment Company/Adviser Compliance Review; And Appendices 27A 27B
  • The Role of the Investment Company Chief Compliance Officer
  • Fund Formation
  • Compliance Calendars
  • Money Market Funds
  • Closed End Investment Companies; And Appendix 31A: Form N 2: Registration Statement for Closed End Management Investment Companies
  • Exchange Traded Funds
  • The Sarbanes Oxley Act
  • Mutual Fund Anti Money Laundering Rules
  • Litigation Under the Investment Company Act of 1940; And Appendix 35A: Section 36(b) of the 1940 Act
  • ERISA Issues for Mutual Fund Advisers
  • The Mutual Fund Market Timing and Late Trading Scandal of 2003; And Appendices 37A 37E
  • Mutual Fund Taxation
  • Capital Structure
  • Mutual Fund Accounting and Financial Reporting; And Appendix 39A: Summary of Daily Activities of Fund Accounting
  • Appendix A: Investment Company Act of 1940
  • Appendix B: Title 17: Commodity and Securities Exchanges
  • Prospectus Disclosure and Delivery Requirements
  • Shareholder Reports; And Appendix 5A: Practice Pointers: Form N CSR
  • Regulation of the Advisory Contract
  • Regulation of Advisory Fees
  • Restrictions on Investments
Dimensions
unknown
Edition
3rd ed
Extent
1 online resource
Form of item
online
Specific material designation
remote
System control number
(OCoLC)863458429
Label
Mutual funds and exchange traded funds regulation, edited by Clifford E. Kirsch
Publication
Note
"32842."
Bibliography note
Includes bibliographical references and index
Color
mixed
Contents
  • v. 1: Fund formation and structure: An introduction to mutual funds, Fund formation, Capital structure -- Registration and disclosure: Prospectus disclosure and delivery requirements, Shareholder reports -- Regulation of the adviser and the fund portfolio: Regulation of the advisory contract, Regulation of advisory fees, Restrictions on investments, Effecting trades, Custody of mutual fund assets, Proxy voting, Protection against conflicts of interest, Personal trading activities -- Corporate governance: Board structure and processes, Shareholder voting -- Fund administration: Purchase and sales of mutual fund shares, Redemption fee rule, Practical considerations in dealing with valuation matters and correcting net asset value errors -- Marketing and distribution: Marketing material, Distribution, Distributing mutual funds through intermediaries: practical considerations concerning distribution through broker-dealers, fund supermarkets and retirement plans, Payments for distribution by open-end funds: practical considerations in structuring a 12b-1 plan, Regulation of mutual fund sales practices -- Compliance, inspections, and record keeping: SEC record-keeping requirements, SEC inspections, Compliance policies and procedures, Conducting and investment company/adviser compliance review, The role of the investment company chief compliance officer, Compliance calenders -- Other types of investment companies: Money market funds, Closed-end investment companies, Exchange traded funds -- Special topics: The Sarbanes-Oxley Act, Mutual fund anti-money laundering rules -- v. 2: Litigation under the Investment Company Act of 1940 -- ERISA issues for mutual fund advisers, The mutual fund market timing and late trading scandal of 2003, Mutual fund taxation, Mutual fund accounting and financial reporting
  • Effecting Trades
  • Custody of Mutual Fund Assets
  • Proxy Voting
  • Protection Against Conflicts of Interest
  • Personal Trading Activities
  • Board Structure and Processes
  • Shareholder Voting
  • Purchase and Sales of Mutual Fund Shares
  • Redemption Fee Rule
  • Practical Considerations in Dealing with Valuation Matters and Correcting Net Asset Value Errors; And Appendix 18A: Fund Policies and Procedures for Net Asset Value Error Correction
  • An Introduction to Mutual Funds
  • Marketing Material
  • Distribution; And Appendices 20A 20B
  • Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker Dealers, Fund Supermarkets and Retirement Plans
  • Payments for Distribution by Open End Funds: Practical Considerations in Structuring a 12b 1 Plan
  • Regulation of Mutual Fund Sales Practices
  • SEC Record Keeping Requirements; And Appendix 24A: Retention Schedule of Materials Identified in Rules 31a 1 and 31a 2 Under the Investment Company Act
  • SEC Inspections
  • Compliance Policies and Procedures
  • Conducting an Investment Company/Adviser Compliance Review; And Appendices 27A 27B
  • The Role of the Investment Company Chief Compliance Officer
  • Fund Formation
  • Compliance Calendars
  • Money Market Funds
  • Closed End Investment Companies; And Appendix 31A: Form N 2: Registration Statement for Closed End Management Investment Companies
  • Exchange Traded Funds
  • The Sarbanes Oxley Act
  • Mutual Fund Anti Money Laundering Rules
  • Litigation Under the Investment Company Act of 1940; And Appendix 35A: Section 36(b) of the 1940 Act
  • ERISA Issues for Mutual Fund Advisers
  • The Mutual Fund Market Timing and Late Trading Scandal of 2003; And Appendices 37A 37E
  • Mutual Fund Taxation
  • Capital Structure
  • Mutual Fund Accounting and Financial Reporting; And Appendix 39A: Summary of Daily Activities of Fund Accounting
  • Appendix A: Investment Company Act of 1940
  • Appendix B: Title 17: Commodity and Securities Exchanges
  • Prospectus Disclosure and Delivery Requirements
  • Shareholder Reports; And Appendix 5A: Practice Pointers: Form N CSR
  • Regulation of the Advisory Contract
  • Regulation of Advisory Fees
  • Restrictions on Investments
Dimensions
unknown
Edition
3rd ed
Extent
1 online resource
Form of item
online
Specific material designation
remote
System control number
(OCoLC)863458429

Library Locations

    • Biddle Law LibraryBorrow it
      3400 Chestnut Street, Philadelphia, Pennsylvania, 19104, US
      39.954941 -75.193362
Processing Feedback ...