Regulations of Registered Investment Companies


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
SKU: 0039 Category:


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