transcript   Transcript

Mutual Funds, Closed End Funds, and ETFs

Recorded on: Jan. 31, 2017
Running Time: 01:28:46

Full Transcript:

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Taken from the Web Program Understanding Financial Products 2017 recorded January, 2017 in New York.

Mutual Funds, Closed End Funds, and ETFs [01:28:46]
  • 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

Presentation Material

  • Mutual Funds, Closed End Funds, and ETFs
Paul G Cellupica ~ Managing Director and General Counsel, TIAA-CREF Financial Services
W. Thomas Conner ~ Partner, Reed Smith
Laurin Blumenthal Kleiman ~ Sidley Austin LLP
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