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
SKU: 0039 Category:

Reviews

There are no reviews yet.

Only logged in customers who have purchased this product may leave a review.

You may also like…

  • 1 Year Unlimited CLE

    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…

    $219.00 Add to cart