Source: https://plus.pli.edu/Browse/Title?fq=title_id%3A(18789)
Timestamp: 2020-06-06 19:32:21
Document Index: 712558261

Matched Legal Cases: ['arts 230', 'arts 230', 'art 275', 'arts 275', 'arts 240', 'art 270']

Published: Apr 2009 i Other versions can be found in the Related Items tab.
ISBN: 9781402412035
PLI Item #: 18789
CHB Spine #: B1732
Chapter 1. Speech by SEC Staff: Address at the Mutual Fund Directors Forum Third Annual Directors’ Institute by Andrew J. Donohue, Director, Division of Investment Management
Chapter 2. Speech by SEC Staff: 2008: Important Accomplishments, Meaningful Lessons and Getting Back to Basics by Andrew J. Donohue, Director, Division of Investment Management
Chapter 3. Speech by SEC Staff: Keynote Address at the National Regulatory Services Twenty-Third Annual Fall Compliance Conference by Andrew J. Donohue, Director, Division of Investment Management
Chapter 4. Speech by SEC Staff: Keynote Address Before SIFMA’s Institutional Brokerage Conference by Andrew J. Donohue, Director, Division of Investment Management
Chapter 5. Speech by SEC Staff: Remarks Before the NAVA Compliance and Regulatory Affairs Conference by Andrew J. Donohue, Director, Division of Investment Management
Chapter 6. SEC Final Rule: 17 CFR Parts 230, 232, 239, and 274, Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies, Release Nos. 33-8998; IC-28584; File No. S7-28-07. For This Document Please See: http://ww
Chapter 7. SEC Proposed Rule: 17 CFR Parts 230, 232, 239, 270, and 274, Interactive Data for Mutual Fund Risk/Return Summary, Release Nos. 33-8929, 34-57942, 39-2457, IC-28298; File Number S7-12-08
Chapter 8. SEC Proposed Guidance; Request for Comment:17 CFR Part 275, Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices, Release Nos. 34- 58264; IC-
Chapter 9. SEC Proposed Rule and Form Amendments: 17 CFR Parts 275 and 279, Amendments to Form Adv, Release No. IA-2711; 34-57419; File No. S7-10-00. For This Document Please See: http://www.sec.gov/rules/proposed/2008/ia-2711.pdf
Chapter 10. SEC Interim Final Temporary Rule; Request for Comments: 17 CFR Parts 240 and 249, Disclosure of Short Sales and Short Positions by Institutional Investment Managers, Release No. 34-58785; File No. S7-31-08
Chapter 11. Financial Reform, a Framework for Financial Stability, Report by Group of Thirty,See http://www.group30.org/pubs/recommendations.pdf
Chapter 12. Financial Regulation: A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulated System, Report to Congressional Addresses by United States Government Accountability Office (Gao). For This Document Please See: http
Chapter 13. Statement of Securities and Exchange Commission Chairman-Designate Mary Schapiro
Chapter 14. Speech by SEC Commissioner: Empowering the Markets Watchdog to Effect Real Results by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission
Chapter 15. United States. Cong. Senate. 111th Congress, 1st Session. Proposed Hedge Fund Transparency Act [Introduced in the U.S. Senate; 29 January 2009]
Chapter 16. United States. Cong. H.R. 111th Congress, 1st Session. Proposed Hedge Fund Adviser Registration Act of 2009 [Introduced in the U.S. House of Representatives; 27 January 2009]
Chapter 17. Willkie Farr & Gallagher LLP Client Memorandum: Bill Introduced in Senate to Subject Private Funds and Their Advisers to SEC Registration
Chapter 18. Willkie Farr & Gallagher LLP Client Memorandum: Congressional Hearing on the Role of Hedge Funds in the Current Financial Crisis
Chapter 19. Willkie Farr & Gallagher LLP Client Memorandum: Congressional Hearings Explore Proposals for New or Modified Financial Regulation
Chapter 20. Valuation and Liquidity Issues for Mutual Funds
Chapter 21. SEC Letter to Roger P. Joseph: No-Action Letter—Master Portfolio Trust—Liquid Reserves Portfolio
Chapter 22. SEC No-Action Letter—Investment Company Act of 1940—Section 17(d) and Rule 17d-1 Franklin Templeton Investments
Chapter 23. SEC No-Action Letter—J.P. Morgan Securities, Inc.
Chapter 24. SEC No-Action Letter—Investment Company Act of 1940—Section 2(a)(41) and Rules 2a-4 and 22c-1 Investment Company Institute
Chapter 25. SEC No-Action Letter—Participation in the U.S. Treasury Temporary Guarantee Program for Money Market Funds; Response to Request from Investment Company Institute
Chapter 26. SEC Interim Final Temporary Rule; Request for Comment: 17 CFR Part 270, Temporary Exemption for Liquidation of Certain Money Market Funds; Release No. IC-28487; File No. S7-32-08
Chapter 27. Best Practices for the Hedge Fund Industry: Report of the Asset Managers’ Committee to the President’s Working Group on Financial Markets
Chapter 28. Principles and Best Practices for Hedge Fund Investors: Report of the Investors’ Committee to the President’s Working Group on Financial Markets
Chapter 29. Sullivan & Cromwell LLP Memorandum: Best Practices for Hedge Fund Managers and Investors
Chapter 30. SEC Regulation of Index Annuities Versus Index Mutual Funds
Chapter 31. Synthetic Guaranteed Lifetime Withdrawal Benefit Offerings: Legal and Practical Issues
Chapter 32. Forensic Testing—How to Identify Compliance Issues You May not Otherwise Be Aware of
Chapter 33. Open Letter to CEOs of SEC-Registered Firms from Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Chapter 34. Speech by SEC Staff: The Role that Surveillance Might Play in the Risk-Based Oversight of Mutual Funds by Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Chapter 35. Office of Compliance Inspections and Examinations—Investment Adviser Examinations: Core Initial Request for Information
Chapter 36. Speech by SEC Staff: Incentivizing Good Compliance by Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Chapter 37. Speech by SEC Staff: Compliance Through Crisis: Focus Areas for SEC Examiners and Compliance Professionals by Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Chapter 38. Speech by SEC Staff: “Why Does Fraud Occur and What Can Deter or Prevent it?” by Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Chapter 39. SEC “Compliancealert” Letter
Chapter 40. Recent Developments in Litigation Involving Mutual Funds and Investment Advisers
Chapter 41. Enforcement Trends and Themes
Chapter 42. Selected Ethics and Professional Responsibility Issues