The complexity of the laws governing mutual funds has grown almost as rapidly as this multitrillion-dollar industry. The new Mutual Fund Regulation distills and clarifies these intricate federal and state guidelines like no other book on the market today, enabling you and your clients to meet all requirements, exploit legal exemptions, and avoid liabilities. Mutual Fund Regulation gives you the practical, plain-English insight you need to comply quickly and easily with all the duties, obligations, restrictions, and prohibitions expressed in the Investment Company Act of 1940, Investment Advisers Act, Securities Act of 1933, and Securities Exchange Act of 1934, as well as SEC mandates, NASD conduct rules, court decisions, and state laws.

Mutual Fund Regulation

Kirsch, Clifford

Business

Practising Law Institute

Broker-Dealer Regulation can ensure you stay up to speed with the many new regulations coming your way and gain a solid, working grasp of today?s standards. This essential, accessible reference will show you how FINRA, the newly created single regulatory organization, will continue to develop a single set of securities rules and how that will affect your work.

Broker-Dealer Regulation (2 Volume Set)

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Investment Adviser Regulation: A Step-by-step Guide to Compliance and the Law (2 Vol set)

Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of: 
<ul>
<li>Registration reporting and recordkeeping rules </li>
<li>Suitability and best execution standards </li>
<li>Ways of minimizing liability in the event of legal lapses, by documenting good-faith compliance efforts </li>
<li>The implementation of a tailor-made compliance program that can help detect and prevent illegal conduct within the firm </li>
</ul>
Broker-Dealer Regulation is filled with practical suggestions on how to best comply with requirements in such areas as electronic trading, safeguarding customer information, trading desk activities and business continuity planning. Recent updates have covered new FINRA Rule 2111 which governs what are and what are not suitable customer transactions the SEC s renewed emphasis on pursuing insider trading claims under 10b5-2 the SEC s recently adopted Rule 15c3-5 on allocation between clearing firm and introducing broker in connection with risk management controls for clearing firms providing market access and a new Chapter 21A on outsourcing issues for financial services firms. Updated at least once a year, Broker-Dealer Regulationis an invaluable resource for broker-dealers, securities attorneys, compliance officers, and regulators.

Broker Dealer Regulation 4 Volume Set

Practising Law Institute (PLI)

At a time of many regulatory changes being made as a result of the economic downturn, the new third edition of Investment Adviser Regulation guides you safely through the maze of Congressional, SEC, and state standards impacting investment advisers as well as helping you understand the practical aspects of building a practice. It clarifies key status issues that determine registration and disclosure duties as well as liability exposure. Specifically, it shows you how to: File and update Form ADV Draft advisory contracts Follow stringent advertising guidelines Structure compliant soft-dollar arrangements Meet best execution requirements and other practice standards Satisfy recordkeeping rules The new third edition of Investment Adviser Regulation describes Regulation S-AM, which tightens the privacy requirements on client financial information the various proposals on harmonizing broker-dealer and financial adviser regulation proposals on increased fiduciary responsibilities as well as the need for the development of improved risk management systems as a result of recent market disruptions. Updated at least once a year, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law is a crucial handbook for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (3 Volume set)