Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Rule 0-1 -- Definition of Terms Used in this Part
Rule 0-2 -- General Requirements of Papers and Applications
Rule 0-3 -- Amendments to Registration Statements and Reports
Rule 0-4 -- Incorporation by Reference
Rule 0-5 -- Procedure with Respect to Applications and Other Matters
Rule 0-8 -- Payment of Fees
Rule 0-10 -- Small Entities for Purposes of the Regulatory Flexibility Act
Rule 0-11 -- Customer Identification Programs
Rule 2a-1 -- Valuation of Portfolio Securities in Special Cases
Rule 2a-2 -- Effect of Eliminations Upon Valuation of Portfolio Securities
Rule 2a3-1 -- Investment Company Limited Partners Not Deemed Affiliated Persons
Rule 2a-4 -- Definition of 'Current Net Asset Value' for Use in Computing Periodically the Current Price of Redeemable Security
Rule 2a-6 -- Certain transactions not deemed assignments
Rule 2a-7 -- Money Market Funds
Rule 2a19-2 -- Investment company general partners not deemed interested persons
Rule 2a19-3 -- Certain investment company directors not considered interested persons because of ownership of index fund securities
Rule 2a41-1 -- Valuation of standby commitments by registered investment companies
Rule 2a-46 -- Certain issuers as eligible portfolio companies
Rule 2a51-1 -- Definition of Investments for Purposes of Section 2(a)(51) (Definition of 'Qualified Purchaser'); Certain Calculations
Rule 2a51-2 -- Definitions of Beneficial Owner for Certain Purposes Under Sections 2(a)(51) and 3(c)(7) and Determining Indirect Ownership Interests
Rule 2a51-3 -- Certain Companies as Qualified Purchasers
Rule 3a-1 -- Certain Prima Facie Investment Companies
Rule 3a-2 -- Transient Investment Companies
Rule 3a-3 -- Certain Investment Companies Owned by Companies Which Are Not Investment Companies
Rule 3a-4 -- Status of Investment Advisory Programs
Rule 3a-5 -- Exemption for Subsidiaries Organized to Finance the Operations of Domestic or Foreign Companies
Rule 3a-6 -- Foreign Banks and Foreign Insurance Companies
Rule 3a-7 -- Issuers of Asset-Backed Securities
Rule 3a71-4 -- Exception from aggregation for affiliated groups with registered security-based swap dealers
Rule 3a-8 -- Certain Research and Development Companies
Rule 3c-1 -- Definition of Beneficial Ownership for Certain Section 3(c)(1) Funds
Rule 3c-2 -- Definition of Beneficial Ownership in Small Business Investment Companies
Rule 3c-3 -- Definition of Certain Terms Used in Section 3(c)(1) of the Act with Respect to Certain Debt Securities Offered by Small Business Investment Companies
Rule 3c-4 -- Definition of 'Common Trust Fund' as Used in Section 3(c)(3) of the Act
Rule 3c-5 -- Beneficial Ownership by Knowledgeable Employees and Certain Other Persons
Rule 3c-6 -- Certain Transfers of Interests in Section 3(c)(1) and Section 3(c)(7) Funds
Rule 5b-1 -- Definition of "total assets"
Rule 5b-2 -- Exclusion of Certain Guarantees as Securities of the Guarantor
Rule 5b-3 -- Acquisition of Repurchase Agreement or Refunded Security Treated as Acquisition of Underlying Securities
Rule 6(a)-5 -- Purchase of certain debt securities by companies relying on section 6(a)(5) of the Act