The Investment Company Regulation Deskbook

by Amy L. Goodman

Includes detailed analysis of the National Securities Markets Improvement Act of 1996. With this expert advisor on your desk, you'll get instant answers on everything from selecting a legal form of investment company to surviving an SEC inspection. Twenty-seven leading securities professionals give you detailed guidance on all aspects of SEC regulation of investment companies, helping you * Determine whether your product raises investment company issues
* Choose the most advantageous investment company form
* Comply with disclosure requirements
* Handle advisory contract and distribution issues
* File a no-action request
* Capitalize on safe harbor exemptions
* Apply for exemptive relief
* Expedite review and appeals
* Defend against an SEC investigation
* Avoid insider trading liability exposure . . . and much more. Whether you're a veteran securities lawyer, a seasoned investment manager, or entirely new to securities practice, you'll use this handy resource constantly for quick, authoritative answers that let you get on with business.

Unbound

First published January 1, 1997