skip to content
The investment management institute, 2003 : a seminar for '40 Act lawyers Preview this item
ClosePreview this item
Checking...

The investment management institute, 2003 : a seminar for '40 Act lawyers

Author: Joel H Goldberg; Paul F Roye; Practising Law Institute.
Publisher: New York, NY : Practising Law Institute, ©2003.
Series: Corporate law and practice course handbook series, no. B-1373.
Edition/Format:   Print book : English
Rating:

(not yet rated) 0 with reviews - Be the first.

Subjects
More like this

 

Find a copy in the library

&AllPage.SpinnerRetrieving; Finding libraries that hold this item...

Details

Genre/Form: Rules
Rules and practice
Document Type: Book
All Authors / Contributors: Joel H Goldberg; Paul F Roye; Practising Law Institute.
ISBN: 1402402988 9781402402982
OCLC Number: 52281496
Notes: "B0-01U8"--Spine.
Prepared for distribution at the program of the same name held May 12-13, 2003.
Description: 744 pages : forms ; 23 cm.
Contents: Sarbanes-Oxley Act of 2002, July 30, 2002 --
SEC final rule release IC-25934; Custody of investment company assets with a securities depository --
SEC final rule release 33-8188; Disclosure of proxy voting policies and proxy voting records by registered management investment companies, January 31, 2003 --
SEC Final rule release IA-2106; Proxy voting by investment advisers, January 31, 2003 --
SEC final rule release 33-8185; implementation of standards of professional conduct for attorneys, January 29, 2003 --
SEC final rule release 34-47262; certification of management investment company shareholder reports and designation of certified shareholder reports as Exchange Act Periodic Reporting forms; Disclosure required by sections 406 and 407 of the Sarbanes-Oxley Act of 2002, January 27, 2003 --
SEC final rule release IC-25888; transactions of investment companies with portfolio and subadviser affiliates, January 14, 2003 --
SEC final rule release 33-8147; Disclosure of costs and expenses by insurance company separate accounts registered as unit investment trusts that offer variable annuity contracts, December 23,2002 --
SEC final rule release IA-2091; Exemption for certain investment advisers operating through the internet, December 12, 2002 --
Fees and charges under variable insurance contracts and related mutual funds: challenges, remedies and defenses / Gary O. Cohen --
The impact of new form N-6 and amendments to form N-4 on underlying mutual fund disclosure / Stephen E. Roth, Elisabeth M. Grano --
Applicability of the Sarbanes-Oxley Act of 2002 to variable insurance product separate accounts and insurance company depositors / Stephen E. Roth, Thomas E. Bisset --
Recent developments in litigation under the Investment Company Act of 1940 / James N. Benedict, Mary K. Dulka, Jennifer Wendy --
Enforcement case developments / Joan E. McKown --
The new SEC attorney rule and the investment management business: An overview / Barry P. Barbash, Jennifer S. Raymer --
Sarbanes-Oxley Act of 2002 and subsequent rulemaking: role of fund directors / Burton M. Leibert --
T. Rowe Price associates, Inc and T. Rowe Price International, Inc. Proxy voting policies and procedures / submitted by Henry Hopkins --
Letter to Jonathan G. Katz on the proposed rules on proxy voting by investment companies and investment advisers / Henry Hopkins, Darrell N. Braman / Letter to Nathan Knuffman and Jonathan G. Katz on Proxy voting by investment companies; file No. S7-36-02 / Henry Hopkins, Darrell N. Braman --
the impending regulation: private funds / Steven J. Fredman.
Series Title: Corporate law and practice course handbook series, no. B-1373.
Responsibility: co-chairs, Joel H. Goldberg, Paul F. Roye.

Reviews

User-contributed reviews
Retrieving GoodReads reviews...
Retrieving DOGObooks reviews...

Tags

Be the first.
Confirm this request

You may have already requested this item. Please select Ok if you would like to proceed with this request anyway.

Linked Data


Primary Entity

<http://www.worldcat.org/oclc/52281496> # The investment management institute, 2003 : a seminar for '40 Act lawyers
    a schema:Book, schema:CreativeWork ;
   library:oclcnum "52281496" ;
   library:placeOfPublication <http://experiment.worldcat.org/entity/work/data/3374357861#Place/new_york_ny> ; # New York, NY
   library:placeOfPublication <http://id.loc.gov/vocabulary/countries/nyu> ;
   schema:about <http://id.worldcat.org/fast/1121385> ; # Small business investment companies
   schema:about <http://id.worldcat.org/fast/1031190> ; # Mutual funds
   schema:about <http://id.worldcat.org/fast/894864> ; # Disclosure in accounting
   schema:about <http://id.worldcat.org/fast/1080696> ; # Proxy
   schema:about <http://id.loc.gov/authorities/classification/KF1078> ;
   schema:about <http://id.worldcat.org/fast/894870> ; # Disclosure of information
   schema:about <http://id.worldcat.org/fast/1397458> ; # Sarbanes-Oxley Act of 2002 (United States)
   schema:about <http://id.worldcat.org/fast/1380724> ; # Investment Advisers Act of 1940 (United States)
   schema:about <http://experiment.worldcat.org/entity/work/data/3374357861#Organization/united_states_securities_and_exchange_commission> ; # United States. Securities and Exchange Commission.
   schema:about <http://id.worldcat.org/fast/978168> ; # Investment advisors
   schema:bookFormat bgn:PrintBook ;
   schema:contributor <http://viaf.org/viaf/24141701> ; # Paul F. Roye
   schema:contributor <http://viaf.org/viaf/4550709> ; # Joel H. Goldberg
   schema:contributor <http://viaf.org/viaf/138321575> ; # Practising Law Institute.
   schema:copyrightYear "2003" ;
   schema:datePublished "2003" ;
   schema:exampleOfWork <http://worldcat.org/entity/work/id/3374357861> ;
   schema:genre "Rules"@en ;
   schema:inLanguage "en" ;
   schema:isPartOf <http://experiment.worldcat.org/entity/work/data/3374357861#Series/corporate_law_and_practice_course_handbook_series> ; # Corporate law and practice course handbook series ;
   schema:name "The investment management institute, 2003 : a seminar for '40 Act lawyers"@en ;
   schema:productID "52281496" ;
   schema:publication <http://www.worldcat.org/title/-/oclc/52281496#PublicationEvent/new_york_ny_practising_law_institute_2003> ;
   schema:publisher <http://experiment.worldcat.org/entity/work/data/3374357861#Agent/practising_law_institute> ; # Practising Law Institute
   schema:workExample <http://worldcat.org/isbn/9781402402982> ;
   wdrs:describedby <http://www.worldcat.org/title/-/oclc/52281496> ;
    .


Related Entities

<http://experiment.worldcat.org/entity/work/data/3374357861#Agent/practising_law_institute> # Practising Law Institute
    a bgn:Agent ;
   schema:name "Practising Law Institute" ;
    .

<http://experiment.worldcat.org/entity/work/data/3374357861#Organization/united_states_securities_and_exchange_commission> # United States. Securities and Exchange Commission.
    a schema:Organization ;
   schema:name "United States. Securities and Exchange Commission." ;
   schema:name "United States. Securities and Exchange Commission" ;
    .

<http://experiment.worldcat.org/entity/work/data/3374357861#Series/corporate_law_and_practice_course_handbook_series> # Corporate law and practice course handbook series ;
    a bgn:PublicationSeries ;
   schema:hasPart <http://www.worldcat.org/oclc/52281496> ; # The investment management institute, 2003 : a seminar for '40 Act lawyers
   schema:name "Corporate law and practice course handbook series ;" ;
    .

<http://id.worldcat.org/fast/1031190> # Mutual funds
    a schema:Intangible ;
   schema:name "Mutual funds"@en ;
    .

<http://id.worldcat.org/fast/1080696> # Proxy
    a schema:Intangible ;
   schema:name "Proxy"@en ;
    .

<http://id.worldcat.org/fast/1121385> # Small business investment companies
    a schema:Intangible ;
   schema:name "Small business investment companies"@en ;
    .

<http://id.worldcat.org/fast/1380724> # Investment Advisers Act of 1940 (United States)
    a schema:CreativeWork ;
   schema:name "Investment Advisers Act of 1940 (United States)" ;
    .

<http://id.worldcat.org/fast/1397458> # Sarbanes-Oxley Act of 2002 (United States)
    a schema:CreativeWork ;
   schema:name "Sarbanes-Oxley Act of 2002 (United States)" ;
    .

<http://id.worldcat.org/fast/894864> # Disclosure in accounting
    a schema:Intangible ;
   schema:name "Disclosure in accounting"@en ;
    .

<http://id.worldcat.org/fast/894870> # Disclosure of information
    a schema:Intangible ;
   schema:name "Disclosure of information"@en ;
    .

<http://id.worldcat.org/fast/978168> # Investment advisors
    a schema:Intangible ;
   schema:name "Investment advisors"@en ;
    .

<http://viaf.org/viaf/138321575> # Practising Law Institute.
    a schema:Organization ;
   schema:name "Practising Law Institute." ;
    .

<http://viaf.org/viaf/24141701> # Paul F. Roye
    a schema:Person ;
   schema:familyName "Roye" ;
   schema:givenName "Paul F." ;
   schema:name "Paul F. Roye" ;
    .

<http://viaf.org/viaf/4550709> # Joel H. Goldberg
    a schema:Person ;
   schema:birthDate "1945" ;
   schema:familyName "Goldberg" ;
   schema:givenName "Joel H." ;
   schema:name "Joel H. Goldberg" ;
    .

<http://worldcat.org/isbn/9781402402982>
    a schema:ProductModel ;
   schema:isbn "1402402988" ;
   schema:isbn "9781402402982" ;
    .


Content-negotiable representations

Close Window

Please sign in to WorldCat 

Don't have an account? You can easily create a free account.