• CLE Courses
    • On Demand CLE Courses
    • Live-Stream CLE Courses
    • CLE Bundles by Jurisdiction
    • CLE Bundles by Topic
  • Unlimited CLE Memberships
  • Resources
    • CLE & CPD Requirements by Jurisdiction
    • CLE Companion FAQ
    • Presenter Profiles
    • Share your Expertise by Presenting a CLE Course
    • Affinity Partners
    • Contact Us
  • Cart
877-670-2520
Info@clecompanion.com
LOGIN
CLE Companion
  • CLE Courses
    • On Demand CLE Courses
    • Live-Stream CLE Courses
    • CLE Bundles by Jurisdiction
    • CLE Bundles by Topic
  • Unlimited CLE Memberships
  • Resources
    • CLE & CPD Requirements by Jurisdiction
    • CLE Companion FAQ
    • Presenter Profiles
    • Share your Expertise by Presenting a CLE Course
    • Affinity Partners
    • Contact Us
  • Cart

Shop

  • Home
  • Shop
  • Courses
  • On Demand Courses
  • Regulations of Registered Investment Companies

Shop

  • Home
  • Shop
  • Courses
  • On Demand Courses
  • Regulations of Registered Investment Companies

Regulations of Registered Investment Companies

$79.00

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

— OR —

SKU: 39 Category: On Demand Courses
  • Share:
  • Description

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

You may also like…

  • Sale! cle courses on demand
    1 Year Unlimited CLE
    $259.00 $199.00 / Year For 1 Year

    Included in Unlimited CLE Package

    Access to ALL Courses
    Watch Courses Anytime 24/7
    Downloadable Course Material
    Instant download Certificates of Completion
    Access to Quality Customer Support via…

    Add to cart

Related products

  • Sale!
    Drafting and Negotiating Commercial Agreements: An Introduction
    $89.00 $49.00

    A practical ‘nuts and bolts’ approach to reviewing, drafting/revising, and negotiating commercial contracts as well as a process for approaching commercial agreements as well as some drafting/negotiating guidelines.

    Add to cart
  • Sale!
    Technology and Ethics for Lawyers in the Digital Age
    $109.00 $69.00

    Technology Ethics in the Digital Age is a 90-minute intensive training course covering all aspects of Ethical Duties Lawyers face with regards to confidentiality and competency in the technologically…

    Add to cart
  • Sale! Clients Trust
    Keeping Clients Trust: Even When Things Go Wrong
    $99.00 $59.00

    A thought-provoking course by Bestselling Author Francine Tone gives insights into the emotional side of Attorney-Client relationships with insights on how to stay ethical and competent within this relationship. …

    Add to cart

Join our Newsletter

Recent Posts

  • HospitalityLawyer.com® • CLE Companion October 20, 2022
  • Press Release: CLE Companion Expands Partnership with AnyLaw March 24, 2022
  • How to Thrive as a Fractional Chief Legal Officer November 19, 2021
  • Legal Marketing: Marketing Tips for Young Lawyers November 11, 2021
  • Work-Life Balance: How to Incorporate Principles Without Getting Passed Up November 4, 2021

Explore State Bundles & Explore Unlimited CLE

Learn More

Connect with us!       1-877-670-2520

Facebook-f Twitter Linkedin Instagram Envelope

© CLE Companion 2022 I Privacy Policy I Cookies Policy I Terms of Use I Financial Aid Policy

  • Blog
  • About Us – CLE Companion
  • Contact Us

Start Today for that 'DONE WITH MY CLE' Feeling!

Explore Unlimited CLE
On Demand CLE Courses
Explore CLE Topic Bundles
Explore State CLE Bundles


Join CLE Companion and the thousands of attorneys who have discovered the ease of online continuing legal education courses.

It doesn’t get any simpler than taking your CLE courses online! 

Completing on-demand CLE courses is the present, and the future.  Join the movement to online CLE and earn your first CLE certificate today!