Regulation of Investment Companies
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Regulation of Investment Companies is a comprehensive practitioner's guide to one of the most complex and rapidly growing areas of law - the regulation of mutual funds and other types of investment companies. Written especially for practitioners. Inside you'll find:
• Section-by-section Analysis of the Investment Company Act of 1940 and its Rules
• Comprehensive Discussion of Mutual Fund Advertising Requirements
• Practical Advice on Understanding the Most Critical Compliance Issues of the Day
• Coverage of Current "Hot" Topics
• Full Text of the 1940 Act and Rules Promulgated Thereunder
Don't be without this comprehensive and indispensable manual if you handle investment regulation issues even occasionally. Packed with insightful analysis and expert practice guidance, Regulation of Investment Companies will rapidly become your go-to resource. From LexisNexis, the name you already trust for all your other legal research needs.
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Table of contents
PART I THE INVESTMENT COMPANY ACT OF 1940
CHAPTER 1 INTRODUCTION
CHAPTER 2 LEGISLATIVE HISTORY OF THE ACT
CHAPTER 3 DEFINITION OF AN INVESTMENT COMPANY: EXCLUSIONS AND EXEMPTIONS
CHAPTER 4 CLASSIFICATION OF REGISTERED INVESTMENT COMPANIES: SECTIONS 4 AND 5
CHAPTER 5 REGISTRATION OF INVESTMENT COMPANIES AND THEIR SECURITIES: SECTIONS 8 AND 24
CHAPTER 6 ORGANIZATION OF AN INVESTMENT COMPANY UNDER THE ACT
CHAPTER 7 ADVISORY CONTRACTS, DISTRIBUTION AND UNDERWRITINGS: SECTIONS 615
CHAPTER 8 AFFILIATED TRANSACTIONS, CUSTODY AND OTHER ISSUES: SECTIONS 1720
CHAPTER 9 VALUATION, SALES ACTIVITIES AND U ITs: SECTIONS 2127, 3536
CHAPTER 10 REPORTING, RECORDKEEPING AND OTHER REQUIREMENTS
CHAPTER 11 OTHER REQUIREMENTS APPLICABLE TO INVESTMENT COMPANIES
CHAPTER 12 BUSINESS DEVELOPMENT COMPANIES: SECTIONS 54-64
CHAPTER 13 ANTI-MONEY LAUNDERING REQUIREMENTS
PART II MUTUAL FUND ADVERTISING REQUIREMENTS
CHAPTER 14 INTRODUCTION TO MUTUAL FUND ADVERTISING REQUIREMENTS
CHAPTER 15 GENERIC ADVERTISEMENTS (RULE 135a)
CHAPTER 16 RULE 482 ADVERTISEMENTS
CHAPTER 17 MUTUAL FUNDS AND THE INTERNET
CHAPTER 18 SUPPLEMENTAL SALES LITERATURE: RULE 34b-1
CHAPTER 19 STANDARDS FOR ADVERTISING AND SALES MATERIALS: RULE 156, NASD REQUIREMENTS, AND MSRB REQUIREMENTS
CHAPTER 20 FILING REQUIREMENTS, NASD/SEC REVIEW, AND RECORDKEEPING
CHAPTER 21 SALES MATERIALS FOR NON-ENGLISH SPEAKING AND VISUALLY IMPAIRED INVESTORS/FOREIGN SALES MATERIAL
CHAPTER 22 USE OF INVESTMENT ADVISER PRIVATE ACCOUNT PERFORMANCE INFORMATION TO PROMOTE A NEWLY REGISTERED FUND
PART III SPECIAL TOPICS IN INVESTMENT COMPANY REGULATION
CHAPTER 23 BANK MUTUAL FUNDS
CHAPTER 24 ACQUISITIONS OF INVESTMENT COMPANY COMPLEXES
CHAPTER 25 MUTUAL FUND ACTIVITIES OF EMPLOYEE BENEFIT PLANS AND RELATED PROGRAMS
CHAPTER 26 EXCHANGE-TRADED FUNDS AND OTHER UNIQUE PRODUCTS
Appendix A: INVESTMENT COMPANY ACT OF 1940
Appendix B: RULES AND REGULATIONS UNDER THE INVESTMENT COMPANY ACT OF 1940
PRIMARY SOURCE, CONTINUED
Appendix C: FORMS UNDER THE INVESTMENT COMPANY ACT OF 1940
Appendix D: LEGISLATIVE HISTORY
Appendix E: SELECTED RELEASES ISSUED BY THE SECURITIES AND EXCHANGE COMMISSION
PRIMARY SOURCE, CONTINUED
Appendix F: SEC NO-ACTION AND INTERPRETIVE LETTERS
Appendix G: SELECTED MATERIALS UNDER THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934
Appendix H: MISCELLANEOUS MATERIALS