Mutual Fund Distribution and Section 22(d) of the Investment Company Act of 1940 PDF Download
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Author: United States. Securities and Exchange Commission. Division of Investment Management Regulation
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 224
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Book Description
Author: United States. Securities and Exchange Commission. Division of Investment Management Regulation
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 224
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Book Description
Author: Tamar Frankel
Publisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4826
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Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Author:
Publisher:
ISBN:
Category : Delegated legislation
Languages : en
Pages : 212
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Book Description
Author: Tamar Frankel
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 776
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 754
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 976
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 930
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1032
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Book Description
Author: United States. Securities and Exchange Commission. Division of Investment Management
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 586
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Book Description
Author: United States. Congress. House. Committee on Commerce. Subcommittee on Finance and Hazardous Materials
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 160
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Book Description
