| Basics of Mutual Funds and Other Registered Investment Companies 2013 Table of Contents |
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| Chapter 1: Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations (February 2013) |
Laurin Blumenthal Kleiman ~ Sidley Austin LLP
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| Chapter 2: Basics of Mutual Funds and Other Registered Investment Companies (April 24, 2013) |
George O. Martinez ~ J.P. Morgan
Mary Joan Hoene ~ Carter Ledyard & Milburn LLP
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| Chapter 3: Mutual Fund Anatomy (April 24, 2013) |
Bibb L. Strench ~ Seward & Kissel LLP
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| Chapter 4: The Administrative History of Rule 12b-1 (April 2013) |
Martin E. Lybecker ~ Perkins Coie LLP
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| Chapter 5: Different Distribution Methodologies for Open-End Funds |
Martin E. Lybecker ~ Perkins Coie LLP
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| Chapter 6: List of Critical Glass-Steagall Act Cases |
Martin E. Lybecker ~ Perkins Coie LLP
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| Chapter 7: ACA Insight: OCIE Chief Drills Down on Conflicts of Interest (November 5, 2012) |
Nicholas Prokos ~ ACA Compliance Group
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| Chapter 8: ACA Insight: Everything You Need to Know About CFTC/NFA Registration (September 3, 2012) |
Nicholas Prokos ~ ACA Compliance Group
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| Chapter 9: ACA Insight: Mutual Fund Adviser Charged with Document Production Failures (August 13, 2012) |
Nicholas Prokos ~ ACA Compliance Group
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| Chapter 10: ACA Insight: An Inside Look at the SEC Enforcement Process (April 30, 2007) |
Nicholas Prokos ~ ACA Compliance Group
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| Chapter 11: ACA Insight: An Inside Look at the Mock Audit Process (July 10, 2006) |
Nicholas Prokos ~ ACA Compliance Group
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| Chapter 12: ACA Insight: Preparing for Your Next SEC Examination (August 22, 2005) |
Nicholas Prokos ~ ACA Compliance Group
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| Chapter 13: SEC Speech: Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services by Norm Champ, Director, Division of Investment Management, U.S. SEC (December 6, 2012) |
Penelope W. Saltzman ~ U.S. Securities and Exchange Commission
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| Chapter 14: Speech by SEC Staff: Remarks at the CCoutreach National Seminar by Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (February 8, 2011) |
Penelope W. Saltzman ~ U.S. Securities and Exchange Commission
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| Chapter 15: Speech by SEC Staff: Remarks at the CCoutreach National Seminar by Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (January 26, 2010) |
Penelope W. Saltzman ~ U.S. Securities and Exchange Commission
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| Chapter 16: Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008) |
Penelope W. Saltzman ~ U.S. Securities and Exchange Commission
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| Chapter 17: Excessive Fee Litigation and the Investment Company Act of 1940 |
Lori A. Martin ~ WilmerHale LLP
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| Chapter 18: Recent Developments in Shareholder Derivative Litigation Involving Investment Companies |
Mark Holland ~ Goodwin Procter LLP
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| Chapter 19: Excerpt: 2012 Investment Company Fact Book: Chapter Two: Recent Mutual Fund Trends, Chapter Three: Exchange-Traded Funds and Chapter Four: Closed-End Funds |
Robert C. Grohowski ~ Investment Company Institute
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| Chapter 20: Current Trends and Developments (PowerPoint Slides) |
Robert C. Grohowski ~ Investment Company Institute
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| Index to Basics of Mutual Funds and Other Registered Investment Companies 2013 |
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