Regulations of Registered Investment Companies

Credit States:

Course Duration

120 Minutes

Credit Type


Presented By

Ethan D. Corey

The course provides an overview of the regulation of investment companies and the parties that provide essential services to investment companies.  The course:

  • Discusses the various sources of law that regulate investment companies
  • Discusses the various types of investment companies regulated by the federal securities laws
  • Examines legal issues and requirements that pertain to organizing and launching an investment company
  • Examines the legal requirements that apply to the registration and offering of investment company shares
  • Examines legal and regulatory requirements that apply to the day-to-day operation of an investment company
  • Identifies Securities and Exchange Commission filing obligations of investment companies
  • Outlines investment company compliance obligations

Presented by: Ethan D. Corey

How it Works