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Financial Products

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2013

Released on: May. 8, 2013

This program is designed to provide you with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others. You will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds ...

Released on: May. 15, 2013

Taken from the briefing SEC's Extension of Exemptions for Security-Based Swaps 2013 recorded April, 2013.Among its many important changes to the legal landscape, The Dodd-Frank Act defined the term “security” to include security-based swaps. The SEC has taken a deliberative approach in relation to the effects of this change, and recently extended until February, 2014 the expiration date of certain temporary exemptions and interim final rules that ...