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2 edition of ALI-ABA Course of Study--the Investment Company Act of 1940 and Investment Company Compliance found in the catalog.

ALI-ABA Course of Study--the Investment Company Act of 1940 and Investment Company Compliance

ALI-ABA Course of Study: the Investment Company Act of 1940 and Investment Company Compliance Los Angeles 1976.

ALI-ABA Course of Study--the Investment Company Act of 1940 and Investment Company Compliance

materials.

by ALI-ABA Course of Study: the Investment Company Act of 1940 and Investment Company Compliance Los Angeles 1976.

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Published by American Law Institute-American Bar Association Committee on Professional Education in [Philadelphia] .
Written in English

    Places:
  • United States.
    • Subjects:
    • Mutual funds -- Law and legislation -- United States.

    • Edition Notes

      Other titlesInvestment company act of 1940 and investment company compliance.
      ContributionsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education.
      Classifications
      LC ClassificationsKF1078.Z9 A13 1976
      The Physical Object
      Pagination2 v. ;
      ID Numbers
      Open LibraryOL4590363M
      LC Control Number77352495

      Peter Cleary Yeager - The Limits of Law- The Public Regulation of Private Pollution () код для вставки. Congressional Hearing Held:

      We put early in the book issues that are of pressing concern to law students or that may arise in the course of externships, clinics, or part-time work. We begin Chapter 1 by discussing the basic structure of the legal profession and the law that governs lawyers because absent that background, the rest of the book might not make sense. Instead, Corporate Bodies and Guilty Minds raises questions about the failure of corporate criminal law. This book is as much about Enron as it is about Lockheed, as much about Lockheed as it is about Standard Oil, and as much about Standard Oil as it is about New .

      Investment Company Act, Release No. , [ Transfer Binder] Fed. Sec. L. Rep. (CCH) 85,, at 83, (Nov. 19, ) (provided in connection with the SECs issuance of Rule 3a-7 under the Investment Company Act of ). The securities industry was subject to intense regulation during the Great Depression through a series of six statutes: the Securities Act of , 15 U.S.C. 77a et seq. () (requiring public offerings of securities to be accompanied by a prospectus and to be registered with the Securities and Exchange Commission (SEC)); the Securities.


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ALI-ABA Course of Study--the Investment Company Act of 1940 and Investment Company Compliance by ALI-ABA Course of Study: the Investment Company Act of 1940 and Investment Company Compliance Los Angeles 1976. Download PDF EPUB FB2

The investment management institute, meeting the challenge of a new regulatory regime. keynote address at the tenth annual advanced ali-aba course of study: investment management regulation Terrence J. O'Malley --Sec concept of "Culture of Compliance" in connection with rule 38A-1 under the Investment Company Act of and as.

koebel (do not delete) 12/6/ am 61 trust and the investment adviser industry: congress’ failure to realize finra’s potential to restore investor confidence james t. koebel*. Comments of the Investment Company Institute on Amendments to Rule 12b-1 Proposed by Investment Company Act Release No.

16, at (Sept. 19, ), reprinted in Mary S. Podesta, Current Developments Involving Rule 12b-1, in INVESTMENT COMPANIES, (PLI Course Handbook Series PLI/Corp ). Madoff’s fiduciary duties would then have run to both the trustees, and, under the Investment Company Act ofto the fund investors He also.

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