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Author : United States. Securities and Exchange Commission. Division of Investment Management Regulation
Publisher : Unknown
Page : 224 pages
File Size : 41,6 Mb
Release : 1974
Category : Mutual funds
ISBN : HARVARD:32044061335030
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Page : 168 pages
File Size : 50,9 Mb
Release : 1972
Category : Mutual funds
ISBN : OSU:32437121655399
Author : United States. Congress. Senate. Committee on Banking and Currency
Publisher : Unknown
Page : 696 pages
File Size : 47,8 Mb
Release : 1967
Category : Mutual funds
ISBN : UCAL:$B642474
Author : United States. Congress. Senate. Committee on Banking and Currency
Publisher : Unknown
Page : 514 pages
File Size : 51,6 Mb
Release : 1969
Category : Investment advisors
ISBN : LOC:00100390747
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Page : 112 pages
File Size : 43,7 Mb
Release : 1967
Category : Mutual funds
ISBN : STANFORD:36105044207103
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Page : 974 pages
File Size : 42,5 Mb
Release : 1967
Category : Mutual funds
ISBN : STANFORD:36105060317588
Author : United States
Publisher : Unknown
Page : 114 pages
File Size : 53,8 Mb
Release : 1970
Category : Electronic
ISBN : UOM:39015035118440
Author : United States. Securities and Exchange Commission,United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher : Unknown
Page : 128 pages
File Size : 40,7 Mb
Release : 1972
Category : Mutual funds
ISBN : OCLC:70715488
Author : Tamar Frankel,Arthur B. Laby,Ann Taylor Schwing
Publisher : Wolters Kluwer
Page : 4826 pages
File Size : 51,7 Mb
Release : 2015-09-16
Category : Law
ISBN : 9781454870630
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Page : 786 pages
File Size : 51,6 Mb
Release : 1972
Category : Mutual funds
ISBN : STANFORD:36105060317653
Author : Anonim
Publisher : Unknown
Page : 2288 pages
File Size : 51,6 Mb
Release : 1979-10
Category : Delegated legislation
ISBN : UCR:31210024961417
Author : Clifford E. Kirsch
Publisher : Unknown
Page : 0 pages
File Size : 43,9 Mb
Release : 2005-01-26
Category : Electronic
ISBN : 1402405723
The complexity of the laws governing mutual funds has grown almost as rapidly as this multitrillion-dollar industry. The new Mutual Fund Regulation distills and clarifies these intricate federal and state guidelines like no other book on the market today, enabling you and your clients to meet all requirements, exploit legal exemptions, and avoid liabilities. Mutual Fund Regulation gives you the practical, plain-English insight you need to comply quickly and easily with all the duties, obligations, restrictions, and prohibitions expressed in the Investment Company Act of 1940, Investment Advisers Act, Securities Act of 1933, and Securities Exchange Act of 1934, as well as SEC mandates, NASD conduct rules, court decisions, and state laws. Written by a team of top corporate and securities attorneys for every industry player, Mutual Fund Regulation's step-by-step guidance helps you:. Satisfy all prospectus disclosure and delivery requirements.. Exploit safe harbors, exemptive rules, and other forms of relief.. Craft solid advisory, distribution, custodian, and other types of contracts.. Structure problem-free compensation arrangements.. Use SEC-approved methods of valuating mutual fund shares.
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Page : 946 pages
File Size : 49,5 Mb
Release : 1992
Category : Securities
ISBN : UIUC:30112002432562
Author : United States. Congress. Senate. Committee on Banking and Currency
Publisher : Unknown
Page : 444 pages
File Size : 42,6 Mb
Release : 1969
Category : Investment advisors
ISBN : UCAL:$B643987
Author : United States
Publisher : Unknown
Page : 424 pages
File Size : 40,7 Mb
Release : 1970
Category : Investment advisors
ISBN : UIUC:30112059613908