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The Investment Company Act of 1940 and Recent SEC Rules
Contains material from Aug 2021
The Investment Company Act of 1940 and Recent SEC Rules
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Investment companies are pooled investment vehicles commonly formed as unincorporated entities. The speaker will provide an introduction to the regulation of these pools under the Investment Company Act of 1940 and review important rulemaking under the ’40 Act that occurred in 2020, including new rules related to exchange traded funds (ETF’s), fund of funds arrangements, derivatives and valuation.
Includes: Video Audio Slides
- Total Credit Hours:
- 0.50
- Credit Info
- TX, CA, PA
- Specialization: Administrative Law | Civil Appellate Law | Consumer Law | Civil Trial Law | Tax Law
- TX MCLE credit expires: 9/30/2025
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An Introduction to of the Investment Company Act of 1940 and Recent SEC Rules. (Aug 2021)
Eric D. Simanek
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Session 1
—31 mins
0.50
An Introduction to of the Investment Company Act of 1940 and Recent SEC Rules. (Aug 2021)
Investment companies are pooled investment vehicles commonly formed as unincorporated entities. The speaker will provide an introduction to the regulation of these pools under the Investment Company Act of 1940 and review important rulemaking under the ’40 Act that occurred in 2020, including new rules related to exchange traded funds (ETF’s), fund of funds arrangements, derivatives and valuation.
Originally presented: Jul 2021 LLCs, LPs and Partnerships
Eric D. Simanek,
Sullivan & Worcester LLP - Washington, DC