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04073aam a2200481 i 4500 001 4545B8BAEA0B11E7B6F5700597128E48 003 SILO 005 20171226010227 008 160504s2016 nyuacd b 001 0 eng 020 $a 1402426674 020 $a 9781402426674 035 $a (OCoLC)948681706 040 $a PQD $b eng $e rda $c PQD $d PQD $d OCLCO $d SLA $d IaU-L $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 050 4 $a KF1078.A75 $b B27 2016 $0 http://id.loc.gov/authorities/classification/K 245 00 $a Basics of mutual funds and other registered investment companies, 2016 / $c co-chairs, Clifford E. Kirsch, Laurin Blumenthal Kleiman. 246 10 $a Mutual funds and other registered investment companies, 2016 246 1 $i Previous title: $a Fundamentals of mutual funds and exchange-traded funds 264 1 $a New York, New York : $b Practising Law Institute, $c ©2016. 300 $a 325 pages : $b illustrations, portraits, charts ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2240 500 $a "#148888"--Spine. 500 $a "Prepared for distribution at the Basics of Mutual Funds and Other Registered Investment Companies 2016 Program, April 28, 2016"--Page 5. 504 $a Includes bibliographical references and index. 505 00 $t Registered Investment Company Regulation and Compliance (April 28, 2016) (PowerPoint slides) / $r Shannon Behara Partner, ACA Compliance Group Thomas Calabria Chief Compliance Officer, Mirae Asset Global Investments (USA) LLC Laurin Blumenthal Kleiman Sidley Austin LLP. $t Fund Anatomy (April 28, 2016) / $r Bibb L Strench Thompson Hine LLP -- $t The Administrative History of Rule 12b 1 / $r Martin E Lybecker Perkins Coie LLP -- $t Compliance Considerations for Sub Advisers to Registered Investment Companies / $r Shannon Behara Partner, ACA Compliance Group -- $t Shareholder Derivative Litigation Involving Investment Companies 2016 / $r Mark Holland Goodwin Procter LLP -- $t Excessive Fee Litigation and the Investment Company Act of 1940 / $r Lori A Martin WilmerHale LLP -- $t Introduction to Exchange Traded Funds (April 28, 2016) / $r James C Munsell Sidley Austin LLP -- $t PLI s Basics of Mutual Funds and Other Registered Investment Companies (April 2016) (PowerPoint slides) / $r Martin E Lybecker Perkins Coie LLP -- $t Registered Investment Company Regulation and Compliance (April 28, 2016) (PowerPoint slides) / $r Shannon Behara Partner, ACA Compliance Group Thomas Calabria Chief Compliance Officer, Mirae Asset Global Investments (USA) LLC Laurin Blumenthal Kleiman Sidley Austin LLP. 650 0 $a Mutual funds. $0 http://id.loc.gov/authorities/subjects/sh85067714 650 0 $a Exchange traded funds. $0 http://id.loc.gov/authorities/subjects/sh2001007506 650 0 $a Investment advisors $x Fees. 610 10 $a United States. $t Investment Company Act of 1940. $0 http://id.loc.gov/authorities/names/no2009104955 650 0 $a Stockholders' derivative actions. $0 http://id.loc.gov/authorities/subjects/sh85128218 650 0 $a Investments. $0 http://id.loc.gov/authorities/subjects/sh85067715 650 0 $a Stockholders. $0 http://id.loc.gov/authorities/subjects/sh85128216 650 0 $a Portfolio management. $0 http://id.loc.gov/authorities/subjects/sh85105080 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 650 0 $a Disclosure of information. $0 http://id.loc.gov/authorities/subjects/sh90003174 650 0 $a Securities $x Marketing. 700 1 $a Kirsch, Clifford E., $e chair. $0 http://id.loc.gov/authorities/names/n96028333 700 1 $a Kleiman, Laurin Blumenthal, $e chair. $0 http://id.loc.gov/authorities/names/no2005076238 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-2240. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20171226025749.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=4545B8BAEA0B11E7B6F5700597128E48Initiate Another SILO Locator Search