6-Hour Program

See Credit Details Below


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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.

This program is designed to provide attendees 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.  Attendees will learn the fundamentals of the extensive regulatory framework that dictates the structure and operations of retail investment funds as well as hot topics and developments affecting this $13 trillion industry.  A distinguished faculty of practitioners will offer insights into regulatory and enforcement developments – including the current administration and SEC -- that could significantly change the landscape of the retail investment management industry.

What You Will Learn

After completing this program, participants will be able to:

  • Know the history of registered fund regulation
  • Understand how funds are created, managed and sold
  • List the extensive variety of publicly offered funds, including open-end mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others
  • Recognize fund operations and the role of the board
  • Recall elements of fund marketing: Distribution and advertising
  • Discuss fund strategies:  From equity and debt to digital assets and ESG
  • Identify litigation and enforcement hot topics

Program Level: Basic

Prerequisites: An interest in mutual funds and other registered investment companies.

Advanced Prep: None

Credit Details