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