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
