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:
This two-volume treatise is also filled with practical suggestions on how to approach complex issues in such areas as dealing with valuation matters • distribution through intermediaries • structuring a 12b-1 plan • conducting a compliance review • and guarding against conflicts of interest. The most recent updates add coverage on the 2010 Amendments affecting liquidity requirements, proposed amendments on Rule 482 to provide more information on “target date funds” and under what conditions redemptions and payments may be suspended by money market funds.
Updated at least once a year, Mutual Funds and Exchange Traded Funds Regulation is an essential compliance tool for securities attorneys, mutual fund practitioners, compliance personnel, and risk officers in fund complexes, and valuable reading for business professionals and investors.
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