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Mutual Fund Regulation and Compliance Handbook, 2011 ed. (Securities L...

Mutual Fund Regulation and Compliance Handbook, 2011 ed. (Securities Law Handbook Series)

By James M. Storey, Lois Yurow, W. John McGuire, Timothy W. Levin
Copyright: 2011
ISBN-13: 9780314930194
Last Updated: 10/19/2011
Availability: In Stock  
Product Details »
Series: Securities Law Handbook Series
Brand: LegalWorks
Pages: 370
Components: 1 Print
Shelf Space: 1 in.
Free Update Period: 90 days
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Available Options:
Book - softbound
List Price:
 $414.00
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Description

This handbook provides a concise summary of the steps involved in forming and operating a mutual fund, analyzes changes in the law governing mutual funds, and explores the regulatory and administrative issues arising under the Investment Company Act of 1940 and related issues. The authors use easily understood language and offer a compilation of new material in an easy-to-use format.

Features

  • Explains the features of the SEC's EDGAR database of mutual fund and corporation filings and other SEC resources
  • Explores the regulatory and administrative issues arising under the Investment Company Act of 1940 and related issues
  • Follows, in chronological order, the life cycle of a mutual fund
  • Includes checklists, samples of documents, forms, and references to additional sources of information
  • Provides a concise summary in clear, simple language of the steps involved in forming and operating a mutual fund

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