Table of Contents
This highly regarded guidebook covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities.
Log In to view your rate
Unlock the discounted member rate
Join first as a member, and then purchase this product at special member pricing.
Fund Director’s Guidebook, Fourth Edition covers open-end funds (typically referred to as mutual funds), closed-end funds and exchange-traded funds. It is intended to assist directors of investment companies registered under the Investment Company Act of 1940 in fulfilling their responsibilities. Since 2006 when the third edition was published, there have been significant developments affecting funds in the wake of the 2008–2009 financial crisis and the resulting legislation, the Dodd-Frank Act. There also has been increased civil litigation involving funds and their service providers, and a more active role of the SEC and its staff in asserting securities law fund-related violations, including SEC enforcement actions against independent directors brought under the 1940 act’s compliance rule.
This guidebook provides directors with:
Federal Regulation of Securities
ABA Book Publishing
9781634252652
9781634252652
194
5070693
6x9 Paperback
9/8/2015 12:00:00 AM
Audio and Video | On-Demand CLE
Art Law 101: Consignment Agreements [CC]
Audio and Video | On-Demand CLE
2020 ILS Virtual Annual Meeting - Thinking Big After the Singapore Convention: The Growing Promise of Cross-Border Mediation [CC]
Audio and Video | On-Demand CLE
2020 ILS Virtual Annual Meeting - New Approaches to Combating International Terrorism [CC]
Apr
05
Events | Webinar
Best Practices for Transition Planning for a Privately Held Business: How to Transfer Ownership and Operating Control to the Next Generation [CC]
CLE 60 min
When the Founder or other sole owner of a privately held business contemplates transferring leadership and ownership to the next generation, wise and informed legal counsel is critical.
Nov
06
Events | Webinar
LLCs, Partnerships and Unincorporated Entities Committee Virtual 2020 Fall Meeting[CC]
ETHICS 120 min
Join us for the LLCs, Partnerships and Unincorporated Entities Committee Virtual 2020 Fall Meeting!
Feb
03
Events | Webinar
Virtual Cyberspace Law Institute and Winter Working Meeting 2021 [CC]
CLE 300 min
Join us of the Virtual Cyberspace Law Institute and Winter Working Meeting 2021!