Regulations of Registered Investment Companies

Credit States:
Course Duration: 120 Minutes
Credit Type: General/ Substantive
Presented by: Ethan D. Corey
Course
Materials

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