Published: November 2011
Last Updated: November 2014
Updated to reflect the Dodd-Frank Act, the many FINRA amended rules, and the SEC 2010 Amendments, the new third edition of Mutual Funds and Exchange Traded Funds Regulation offers definitive legal and compliance information, helping you to:
Satisfy prospectus disclosure and delivery standards
Draft airtight advisory, distribution, custodian, and other contracts
Structure sound compensation agreements
Exploit statutory safe harbors ...