transcript   Transcript

Mutual Funds, Closed End Funds, and ETFs

Recorded on: Jan. 26, 2018
Running Time: 01:29:57

Full Transcript:

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Taken from the Web Program Understanding Financial Products 2018 Recorded January 2018 in New York

Mutual Funds, Closed End Funds, and ETFs [01:29:57]
  • Mutual Funds and Other Investment Companies
  • Overview of the regulatory structure
  • Dodd-Frank; Impact of CFTC regulation of commodity pools and advisers
  • Organizational structure
  • Regulatory requirements under the Investment Company Act
  • Closed End Funds
  • ETFs

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations
    Carla G. Teodoro, Laurin Blumenthal Kleiman
  • Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker-Dealers, Fund Supermarkets and Retirement Plans
    Carol J. Whitesides, Laurin Blumenthal Kleiman
  • Regulation of ETFs and Other Exchange Traded Products
    W. Thomas Conner
Presentation Material
  • Mutual Funds, Closed End Funds, and ETFs
    W Thomas Conner, Laurin Blumenthal Kleiman, Margery K. Neale


    W Thomas Conner ~ Vedder Price
    Laurin Blumenthal Kleiman ~ Sidley Austin LLP
    Margery K. Neale ~ Willkie Farr & Gallagher LLP
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