Regulations of Registered Investment Companies
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Regulations of Registered Investment Companies

Regulations of Registered Investment Companies

$99.00 $79.00

Course 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; and
  • outlines investment company compliance obligations.

Presented by: Ethan D. Corey

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SKU: 0039 Category:

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