LexisNexis eCommerce

  • Regulation of Investment Companies
 
 
Area of Interest
Area of Law
Jurisdiction
Software

Book

Regulation of Investment Companies

A comprehensive practitioner's guide to one of the most complex and rapidly growing areas of law--the regulation of mutual funds and other types of investment companies.


Availability: In Stock
Publisher :Matthew Bender
Format: 3 looseleaf volumes , BOOK
ISBN: 9780820520056
  $646.00
Less More


    A comprehensive practitioner's guide to one of the most complex and rapidly growing areas of law--the regulation of mutual funds and other types of investment companies.

    Written especially for practitioners, Regulation of Investment Companies includes:

    • Section-by-section Analysis of the Investment Company Act of 1940 and its Rules
    • Comprehensive Discussion of Mutual Fund Advertising Requirements
    • Practical Advice on Understanding the Most Critical Compliance Issues of the Day
    • Coverage of Current "Hot" Topics
    • Full Text of the 1940 Act and Rules Promulgated Thereunder

      Looseleaf; updated with revisions.

      3 Volumes

      View Chapter Excerpt

      Featured Investment Management Law Publications

    VOLUME 1

    PART I THE INVESTMENT COMPANY ACT OF 1940

    CHAPTER 1 INTRODUCTION
    CHAPTER 2 LEGISLATIVE HISTORY OF THE ACT
    CHAPTER 3 DEFINITION OF AN INVESTMENT COMPANY: EXCLUSIONS AND EXEMPTIONS
    CHAPTER 4 CLASSIFICATION OF REGISTERED INVESTMENT COMPANIES: SECTIONS 4 AND 5
    CHAPTER 5 REGISTRATION OF INVESTMENT COMPANIES AND THEIR SECURITIES: SECTIONS 8 AND 24
    CHAPTER 6 ORGANIZATION OF AN INVESTMENT COMPANY UNDER THE ACT
    CHAPTER 7 ADVISORY CONTRACTS, DISTRIBUTION AND UNDERWRITINGS: SECTIONS 6–15
    CHAPTER 8 AFFILIATED TRANSACTIONS, CUSTODY AND OTHER ISSUES: SECTIONS 17–20
    CHAPTER 9 VALUATION, SALES ACTIVITIES AND U ITs: SECTIONS 21–27, 35–36
    CHAPTER 10 REPORTING, RECORDKEEPING AND OTHER REQUIREMENTS
    CHAPTER 11 OTHER REQUIREMENTS APPLICABLE TO INVESTMENT COMPANIES
    CHAPTER 12 BUSINESS DEVELOPMENT COMPANIES: SECTIONS 54-64
    CHAPTER 13 ANTI-MONEY LAUNDERING REQUIREMENTS

    PART II MUTUAL FUND ADVERTISING REQUIREMENTS

    CHAPTER 14 INTRODUCTION TO MUTUAL FUND ADVERTISING REQUIREMENTS
    CHAPTER 15 GENERIC ADVERTISEMENTS (RULE 135a)
    CHAPTER 16 RULE 482 ADVERTISEMENTS
    CHAPTER 17 MUTUAL FUNDS AND THE INTERNET
    CHAPTER 18 SUPPLEMENTAL SALES LITERATURE: RULE 34b-1
    CHAPTER 19 STANDARDS FOR ADVERTISING AND SALES MATERIALS: RULE 156, NASD REQUIREMENTS, AND MSRB REQUIREMENTS
    CHAPTER 20 FILING REQUIREMENTS, NASD/SEC REVIEW, AND RECORDKEEPING
    CHAPTER 21 SALES MATERIALS FOR NON-ENGLISH SPEAKING AND VISUALLY IMPAIRED INVESTORS/FOREIGN SALES MATERIAL
    CHAPTER 22 USE OF INVESTMENT ADVISER PRIVATE ACCOUNT PERFORMANCE INFORMATION TO PROMOTE A NEWLY REGISTERED FUND

    PART III SPECIAL TOPICS IN INVESTMENT COMPANY REGULATION

    CHAPTER 23 BANK MUTUAL FUNDS
    CHAPTER 24 ACQUISITIONS OF INVESTMENT COMPANY COMPLEXES
    CHAPTER 25 MUTUAL FUND ACTIVITIES OF EMPLOYEE BENEFIT PLANS AND RELATED PROGRAMS
    CHAPTER 26 EXCHANGE-TRADED FUNDS AND OTHER UNIQUE PRODUCTS

    INDEX
    PRIMARY SOURCE
    Appendix A: INVESTMENT COMPANY ACT OF 1940
    Appendix B: RULES AND REGULATIONS UNDER THE INVESTMENT COMPANY ACT OF 1940

    VOLUME 2

    PRIMARY SOURCE, CONTINUED
    Appendix C: FORMS UNDER THE INVESTMENT COMPANY ACT OF 1940
    Appendix D: LEGISLATIVE HISTORY
    Appendix E: SELECTED RELEASES ISSUED BY THE SECURITIES AND EXCHANGE COMMISSION

    VOLUME 3

    PRIMARY SOURCE, CONTINUED
    Appendix F: SEC NO-ACTION AND INTERPRETIVE LETTERS
    Appendix G: SELECTED MATERIALS UNDER THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934
    Appendix H: MISCELLANEOUS MATERIALS

     

    Lemke, Thomas P.


    Thomas P. Lemke is Senior Vice President and General Counsel of Legg Mason, Inc., in Baltimore. Mr. Lemke has extensive experience in the law of financial services, particularly the regulation of investment companies, investement advisors, and broker-dealers in the U.S. and overseas. He started his career at the SEC¿s Division of Investment Management, serving as Chief Counsel during his last three years. He is a frequent speaker on investment management matters and has co-authored a number of books in the area, including Regulation of Investment Companies (Matthew Bender & Co.), Regulation of Investment Advisers (Clark Boardman Callaghan), Soft Dollars and Other Brokerage Arrangements (Mercer Point Press), and How to Read A Mutual Fund Prospectus (Mercer Point Press).

    Smith III,Thomas A.


    A. Thomas Smith, III is a Managing Director of Morgan Stanley and General Counsel of Morgan Stanley Investment Management ¿ Mutual Funds. Mr. Smith has a full range of experience concerning the laws that regulate asset management activities and financial services. Previously, he was responsible for legal matters regarding investment companies, investment advisers, broker-dealers, transfer agents and alliance programs, with both asset management and financial services firms. He also spent several years in private practice, focusing on the regulation of investment companies and investment advisers in the United States and abroad. Prior to that, he served as a staff attorney in the Office of Chief Counsel in the SEC¿s Division of Investment Management, where he concentrated on the regulation of investment companies and investment advisers under the federal securities laws.

    Lins,T. Gerald


    Mr. Lins is General Counsel of ING Furman Selz Asset Management LLC, which comprises several investment advisory entities managing a wide variety of investment strategies and vehicles, including separate accounts, hedge funds, offshore funds, mutual funds, collateralized debt obligations and wrap fee accounts. Previously, Mr. Lins was in charge of legal matters for a number of major asset managers and fund complexes, and also spent several years in private practice, concentrating on general corporate law matters and the regulation of investment companies, investment advisers, and other financial service providers. Prior to that, he was a staff attorney in the Office of Chief Counsel in the SEC¿s Division of Investment Management, where he had a broad range of experience with the regulation of investment companies and investment advisers under the federal securities laws. He received his J.D. in 1984 from Harvard Law School.

    Mr. Lins is a co-author of numerous articles and several books including:

    Regulation of Investment Advisers (West Publishing, 2002);
    Regulation of Investment Companies (Matthew Bender & Co., Inc., 2002);
    Soft Dollars and Other Brokerage Arrangements (Glasser LegalWorks, 2001);
    The Money Manager¿s ERISA Sourcebook (Glasser LegalWorks, 2002); and
    How to Read a Mutual Fund Prospectus (Mercer Point Press, 1999).

     

Products to Consider

Collier Monograph: Ancillary and Other Cross-Border Insolvency Cases Under Chapter 15 of the Bankruptcy Code
In a world becoming increasingly interdependent it is unusual for a major bankruptcy ...

Collier Pamphlet 2009 Edition, Part 2
Part two of a three-part indispensable resource, the Collier Pamphlet Edition, ...

Investment Advisers: Law & Compliance
A clear compliance and practice guide that explains and interprets the Investment ...

Manual of Complex Litigation
Manual for Complex Litigation, Fourth. Issued in 2004 under the auspices ...

Nimmer on Copyright
Cited in more court opinions than any other treatise on the subject of U.S. ...

 
 
 
 
Copyright © LexisNexis, a division of Reed Elsevier Inc. All rights reserved.