Events June 06, 2012
New York, NY

PLI's Fundamentals of Mutual Funds and Exchange-Traded Funds

This program is designed to provide attendees with a solid foundation in the legal, regulatory and operational issues affecting the $12 trillion mutual fund industry, including the emerging exchange-traded fund industry. Attendees will learn how Congress, regulators, markets, and the courts have shaped the formation and structure of this industry. Attendees will also learn about the impact of the financial crisis on the mutual fund and exchange-traded fund industry and what is in store regarding future regulatory developments. A distinguished faculty of practitioners and regulators, including current and former SEC officials, will offer insights into recent proposals that could result in the potential overhaul of regulations governing mutual fund prospectus delivery, the determination of fund management fees, and the uncertain future of Rule 12b-1—plus recent litigation and enforcement decisions.