Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
INVESTMENT COMPANY ACT - RULES & REGULATIONS
Title
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
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