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Mutual funds hold approximately one quarter of the value of the stock of U.S. companies, one third of the value of municipal securities, and forty-four percent of outstanding financial paper. Mutual Funds: Law and Practice is a comprehensive legal guide to this complex, $10 trillion industry.
This essential new book takes a multi-faceted approach to its subject, covering the Investment Company Act of 1940 and other securities acts; regulation by the SEC, the states, and self-regulatory organizations; and best practices promulgated by trade groups. It examines all aspects of fund structure, operations, marketing, financial disclosure, tax treatment, regulation, examination and enforcement.
Topics include board and director obligations unique to mutual funds, disclosure "do"s and "don't"s, insurance, limitations on the use of some investments and investment practices, mutual fund fees and expenses, and more. How should you prepare for an SEC examination of a fund? How can a fund avoid taxation on undistributed capital gains? How does a fund's capital structure affect its ability to borrow? You'll find answers to these questions and many others.
Whether you are a fund counsel, sponsor or manager, an investor or shareholder, a fund director or service provider, Mutual Funds: Law and Practice helps you choose the right strategies and avoid costly mistakes.
Book #710; looseleaf, one volume, 484 pages; published in 2011, updated as needed; no additional charge for updates during your subscription. Looseleaf print subscribers receive supplements. The online edition is updated automatically. ISBN: 978-1-58852-171-2
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