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					                                                Index

ACCOUNTANTS AND ACCOUNTING                           AFFILIATE TRANSACTIONS—Cont’d
   SERVICES                                           What is aliated person, 22:1
 Generally, 5:7                                      ANTI-MONEY LAUNDERING
 Inside accounting sta, 29:3                           REQUIREMENTS
 Organizing decisions, 11:6                           Generally, 36:1
 Outside accountants, 29:2
                                                     APPOINTMENT
ADMINISTRATION                                        Chief compliance ocer, 20:2
 Chief Compliance Ocer (this index)
                                                     ATTORNEYS
ADVERTISING                                           Lawyers and Legal Services (this index)
 Generally, 15:1-15:8
 Additional sources, 15:8                            BANKS
 FINRA rules, 15:6                                    Custody, 25:1
 Generic ads, 15:1, 15:2                              Federal banking law, 3:9
 Investment Advisers Act, 35:3                       BLUE SKY LAWS
 Misleading ads, 15:7                                 Initial SEC registration, 12:3
 Money market funds, advertising and                  Investment Advisers Act, 35:5
      prospectuses, 31:11                             Shareholder meetings, 28:6
 Rule 135a generic ads
   generally, 15:1                                   BOARD OF TRUSTEES
   permitted information, 15:2                        Trustees (this index)
 Rule 482 ads (omitting prospectuses)                BROKERS
   generally, 15:3                                    Aliate Transactions (this index)
   permitted information, 15:4                        Broker-dealers, 25:2
 SEC Žling requirements, 15:5
                                                     BY-LAWS
ADVISERS                                              Choice of vehicle, 7:4
 Investment Adviser (this index)
                                                     CAPITAL
ADVISORY AGREEMENTS                                   Common stock only, 13:1
 Initial investment advisory agreement, checklist,    Initial capital, 11:3
       10:2                                           Multiple-class funds, 13:4
 Investment Advisers Act, 35:2                        No leverage, 13:2
 Open-end funds, ongoing requirements for             Series fund
       investment advisory agreement, 21:2
                                                         generally, 13:3
AFFILIATE TRANSACTIONS                                   example of series fund with classes, 13:5
 Generally, 22:1-22:9                                 Structure
 Brokers                                                 generally, 13:1-13:7
   compensation of aliate, 22:5                         additional sources, 13:6
   usual and customary broker's commission               closed-end funds, 32:4
         under Rule 17e-1, 22:6                          common stock only, 13:1
 Compensation of aliate                                 multiple-class funds, 13:4
   agent, 22:4                                           no leverage, 13:2
   broker, 22:5, 22:6                                    Rule 18f-3 plan, sample, 13:7
   underwriter, 22:7                                     series fund, 13:3, 13:5
 Joint transactions, 22:3                            CHECKING ACCOUNTS
 Principals, aliates dealing as, 22:2                Custody, 25:9
 Rule 10f-3 exemption from Section 10(f), condi-
      tions to be met to satisfy, 22:8               CHECKLIST
 Samples, 22:9                                        Initial investment advisory agreement, 10:2

                                                                                                Index-1
                                       Mutual Fund Regulation and Compliance Handbook


CHIEF COMPLIANCE OFFICER                          CLOSED-END FUNDS—Cont’d
 Generally, 20:1-20:7                              Secondary trading on exchanges, 32:5
 Additional sources, 20:6                          Types, 32:1
 Administration, fund's compliance policies and   COMBINATIONS AND REORGANIZATIONS
      procedures
                                                   Generally, 17:1-17:5
   generally, 20:3, 20:4
                                                   Additional sources, 17:5
   Rule 38a-1, 20:4
                                                   Same fund group, combinations with, 17:1
 Appointment, 20:2
                                                   SEC Žlings, 17:4
 Board resolutions, sample, 20:7
                                                   Tax considerations, 17:3
 Players, 5:6
                                                   Unrelated funds, combinations of, 17:2
 Recordkeeping requirements, 20:5
 Removal, 20:2                                    COMMISSIONS
 Requirements                                      Aliate transactions, usual and customary
   generally, 20:1                                     broker's commission under Rule 17e-1, 22:7
   recordkeeping, 20:5                             Brokerage commissions, soft dollars, 21:10
 Resolutions, sample board, 20:7
                                                  COMMODITIES EXCHANGE ACT
 Rule 38a-1, 20:4
                                                   Generally, 3:5
 Sample board resolutions, 20:7
CHOICES                                           COMPENSATION
 Fund Structure and Type, Choice of (this          Aliate Transactions (this index)
     index)                                       CONTRACTS
 Vehicle Choice (this index)                       Generally, 10:1-10:8
CIVIL ENFORCEMENT                                  Additional sources, 10:7
  SEC powers, 37:5                                 Checklist, initial investment advisory agreement,
                                                         10:2
CLAIMS                                             Distribution arrangements, 10:3
 Shareholders, mutual funds as, 24:2               Examples, Žnding, 10:6
CLASS ACTION SETTLEMENTS                           Finding examples, 10:6
 Shareholders, mutual funds as, 24:2               Initial distribution agreement, 10:4
                                                   Initial investment advisory agreement, checklist,
CLOSED-END FUNDS                                         10:2
 Generally, 32:1-32:10                             Investment adviser, 10:1
 Additional fund shares, selling, 32:7             Other services, 10:5
 Additional sources, 32:10                         Samples, 10:8
 Capital structure, 32:4
 Dierences between closed-end and open-end       CRIMINAL VIOLATIONS
      funds, 32:1                                  SEC powers, 37:6
 Disclosure requirements, 32:2
 Discount to NAV, exchange-traded closed-end      CUSTODY
      funds, 32:6                                  Generally, 25:1-25:11
 Exchange Act, Section 16, 32:9                    Additional sources, 25:11
 Exchange-traded closed-end funds, discount or     Banks, 25:1
      premium to NAV, 32:6                         Broker-dealers, 25:2
 Leverage, 32:4                                    Checking accounts, 25:9
 Net asset value, discount or premium to NAV,      Commodities futures, 25:7
      32:6                                         Depositing margin directly with futures commis-
 Open-end funds, dierences between closed-end          sion merchant under Rule 17f-6, 25:8
      and, 32:1                                    Oshore custody under Rules 17f-5 and 17f-7,
 Operation, 32:3                                        25:6
 Organization, 32:3                                Options trading, 25:7
 Premium to NAV, exchange-traded closed-end        Petty cash, 25:10
      funds, 32:6                                  Securities depositories, custody under Rule 17f-4,
 Redeeming shares, 32:8                                 25:4
 Repurchasing shares, 32:8                         Securities lending, 25:5
 Requirements, disclosure, 32:2                    Self-custody under Rule 17f-2, 25:3

Index-2
Index


DEFINITIONS                                            EXCHANGE-TRADED FUNDS—Cont’d
 Mutual fund                                            Requirements, disclosure, 34:4
   additional sources, 4:3                              Structure, 34:3
   everyday meaning, 4:1                               EXCHANGING SHARES
   legal deŽnition, 4:2
                                                        Generally, 16:2
 Pooled fund registration, investment company,
                                                        Loads and fees on exchanges of shares between
      6:1
                                                            related open-end funds under Rule 11(a) and
DISCLOSURE                                                  Rule 11a-3, 16:3
  Closed-end funds, 32:2                               EXEMPTIONS
  Dividends (Section 19(a)), 18:1
                                                        SEC powers, 37:2
  Exchange-traded funds, 34:4
                                                       EXPENSES
DISTRIBUTORS AND DISTRIBUTIONS
                                                        Organizational expenses, 11:4
  Capital gains distribution frequency (Rule 19(b)),
        18:3                                           FIDELITY BONDS
  Distribution arrangements, 10:3                        Generally, 26:1
  Distributors, 5:4
  Expenses of distribution, 14:4                       FIDUCIARIES
  Fund shares, distributing, 14:3                        Trustees, Žduciary role, 19:1
  Income taxes, 30:3                                   FINANCIAL INDUSTRY REGULATORY
  Initial distribution agreement, 10:4                     AUTHORITY (FINRA)
  Reinvestment of distributions, 18:5                    Generally, 3:4
DIVIDENDS                                                Advertising rules, 15:6
  Generally, 18:1-18:8                                 FINDING EXAMPLES
  Capital gains distribution frequency (Section          Contracts, 10:6
       19(b)), 18:3
                                                         Vehicle choice, 7:5
  Disclosure (Section 19(a)), 18:1
  Excess dividend statement, guidelines, 18:2          FISCAL YEAR
  Reinvestment of dividends and distributions, 18:5      Organizing decisions, 11:5
  Samples, 18:8
  State law restrictions, 18:7                         FRAUD
  Subchapter M of Code, 18:4                             Personal Trading by Insiders (this index)
  Trustee responsibilities, 18:6                       FUND OF FUNDS
ECONOMIC CRISIS (2008)                                   Generally, 8:5
 Money market funds, 31:12                             FUND STRUCTURE AND TYPE, CHOICE OF
EDGAR                                                    Generally, 8:1-8:7
 SEC website, next-generation EDGAR, 38:2                Additional sources, 8:7
                                                         Fund of funds, 8:5
EMPLOYEE RETIREMENT INCOME
   SECURITY ACT (ERISA)                                  Investment approach, 8:6
 Legal requirements, 36:3                                Master-feeder funds, 8:3
                                                         Multiple-class funds, 8:4
ERISA                                                    Series fund, 8:2
 Legal requirements, 36:3                                Simple stand-alone fund with single portfolio,
ETHICS                                                        8:1
 Personal trading by insiders, codes of ethics,        FUTURES
      23:3, 23:10                                        Commodities futures, 25:7
EXCHANGE-TRADED FUNDS                                    Depositing margin directly with futures commis-
 Generally, 34:1-34:5                                        sion merchant under Rule 17f-6, 25:8
 Additional sources, 34:5                              GARTENBERG MEMORANDUM
 Closed-end funds, discount or premium to NAV,          Sample memorandum, 19:8
      32:6
 Disclosure requirements, 34:4                         GENERIC ADS
 History, 34:2                                          Generally, 15:1, 15:2

                                                                                                 Index-3
                                       Mutual Fund Regulation and Compliance Handbook


HANDBOOK                                           INVESTING—Cont’d
 Generally, 1:1-1:3                                  Restrictions
 Approach, 1:2                                         Žnancial industry, 21:8
 Coverage, 1:1                                         other investing restrictions, 21:9
 Style, 1:3                                            trading strategies, 21:7
                                                     Samples, 21:1, 21:12
HEDGE FUNDS                                          Trading strategies, restrictions on, 21:7
 Generally, 33:1-33:7
 Additional sources, 33:7                          INVESTMENT ADVISER
 Attributes, 33:1                                    Generally, 5:3, 21:1
 Employees, 33:5                                     Contracts, 10:1
 Legal transfers, 33:4                               Sale of adviser's business
 Pooled fund registration, 6:3                         generally, 21:3, 21:4
 Private funds, Section 3(c)(1), 33:2                  safe harbor for proŽts, 21:4
 QualiŽed purchaser funds, Section 3(c)(7), 33:3   INVESTMENT ADVISERS ACT
 Upcoming legislation, 33:6                          Generally, 3:2, 35:1-35:6
INCOME TAXES                                         Additional sources, 35:6
  Taxation (this index)                              Advertising, 35:3
                                                     Advisory agreements, 35:2
INDEMNIFICATION                                      Blue sky laws, 35:5
  Insurance and IndemniŽcation (this index)          Other features, 35:4
INDEPENDENT TRUSTEES                                 Personal trading by insiders, 23:8
  Trustees (this index)                              Registration, 35:1
INITIAL CAPITAL                                    INVESTMENT COMPANY ACT
  Generally, 11:3                                    Generally, 2:1-2:6, 3:1
                                                     Additional sources, 2:6
INSIDERS                                             Amendments to Act, 2:4
  Personal Trading by Insiders (this index)          Legislative reform, events leading to, 2:1
INSPECTIONS                                          SEC report, 2:2
  SEC powers, 37:3                                   Success of industry, 2:5
                                                     Theory of Act, 2:3
INSURANCE AND INDEMNIFICATION
  Generally, 26:1-26:5                             LAWYERS AND LEGAL SERVICES
  Additional sources, 26:4                          Generally, 5:7
  Fidelity bonds, 26:1                              Independent trustees, counsel to, 19:6
  IndemniŽcation provisions, 26:3                   Organizing decisions, 11:6
  Other insurance, 26:2                            LEGAL FRAMEWORK
  Samples, 26:5                                     Generally, 3:1-3:13
INTERNET                                            Additional sources, 3:13
  SEC website, 38:1-38:5                            Banking law, federal, 3:9
                                                    Commodities Exchange Act, 3:5
INVESTIGATIONS                                      FINRA, 3:4
  SEC powers, 37:4                                  Investment Advisers Act of 1940, 3:2
                                                    Investment Company Act of 1940, 3:1
INVESTING                                           Other law, 3:12
  Generally, 21:1-21:12                             Regulation S-P, 3:8
  Additional sources, 21:11                         Sarbanes-Oxley Act of 2002, 3:6
  Adviser. Investment Adviser (this index)          Securities Act of 1933, 3:3
  Brokerage commissions, soft dollars, 21:10        Securities Exchange Act of 1934, 3:4
  DiversiŽcation of investments, 21:6               State law, 3:11
  Financial industry restrictions, 21:8             Tax law, 3:10
  Fundamental investment policies, 21:5             USA PATRIOT Act, 3:7
  Open-end funds, ongoing requirements for
      investment advisory agreement, 21:2          LEGAL REQUIREMENTS
  Other investing restrictions, 21:9                Generally, 36:1-36:4

Index-4
Index


LEGAL REQUIREMENTS—Cont’d                          MONEY MARKET FUNDS—Cont’d
 Additional sources, 36:4                           Stable net asset value, 31:1
 Anti-money laundering, 36:1                        Trustees’ responsibility and supervision, 31:3
 Employee Retirement Income Security Act            2008 economic crisis, impact, 31:12
      (ERISA), 36:3
                                                   MULTIPLE-CLASS FUNDS
 ERISA, 36:3
                                                    Generally, 8:4
 Money laundering, 36:1
                                                    Capital structure, 13:4
 Regulation S-P, 36:2
                                                   NAME
LOADS AND FEES
                                                    Organizing decisions, 11:1
 Exchanges of shares between related open-end
     funds under Rule 11(a) and Rule 11a-3, 16:3   NET ASSET VALUE
MASTER-FEEDER FUNDS                                 Closed-end funds, discount or premium to NAV,
                                                        32:6
 Generally, 8:3
                                                    Money market funds, stable net asset value, 31:1
MEETINGS
                                                   NEXT-GENERATION EDGAR
 Adjournments, 28:5
                                                    SEC website, 38:2
 Annual meetings, 28:1
 Blue sky, 28:6                                    ‘‘NOT PRIMARILY IN THE INVESTMENT
 Proxy materials, 28:3                                 BUSINESS’’
 Resolution calling shareholder meeting, sample,     Pooled fund registration, 6:2
      28:7
                                                   OPEN-END FUNDS
 Shareholder meetings
                                                    Closed-end funds, diering from, 32:1
   generally, 28:1-28:7
                                                    Investment advisory agreement, ongoing require-
   adjournments, 28:5
                                                         ments, 21:2
   annual meetings, 28:1
                                                    Loads and fees on exchanges of shares between
   blue sky, 28:6                                        related open-end funds under Rule 11(a) and
   proxy materials, 28:3                                 Rule 11a-3, 16:3
   resolution calling meeting, sample, 28:7
   special meetings, 28:2                          OPERATION
   vote of shareholders, 28:4                       Closed-end funds, 32:3
 Special meetings, 28:2                            OPTIONS TRADING
 Trustee meetings, 19:5                             Generally, 25:7
 Vote of shareholders, 28:4
                                                   ORGANIZATION
MONEY LAUNDERING                                    Closed-end funds, 32:3
 Legal requirements, 36:1
                                                   ORGANIZATIONAL EXPENSES
MONEY MARKET FUNDS                                  Generally, 11:4
 Generally, 31:1-31:14
 Additional sources, 31:13                         ORGANIZING DECISIONS
 Advertising and prospectuses, 31:11                Generally, 11:1-11:7
 Credit support, 31:4                               Accountants, 11:6
 Defaults, 31:8                                     Additional sources, 11:7
 Downgrades, 31:8                                   Fiscal year, 11:5
 Economic crisis (2008), impact, 31:12              Fund Structure and Type, Choice of (this
 Eligible security for funds, 31:7                        index)
 Impact of 2008 economic crisis, 31:12              Initial capital, 11:3
 Net asset value, stable, 31:1                      Investment objectives and policies, 11:2
 Portfolio                                          Lawyers, 11:6
   diversiŽcation, 31:9                             Name, 11:1
   maturity, 31:5                                   Organizational expenses, 11:4
                                                    Vehicle Choice (this index)
   quality, 31:6
 Prospectuses and advertising, 31:11               PERSONAL TRADING BY INSIDERS
 Related procedures, 31:10                           Generally, 23:1-23:10
 Resolution for fund, sample, 31:14                  Access person reports under Rule 17j-1(c), 23:4
 Rule 2a-7, 31:2                                     Additional sources, 23:9

                                                                                              Index-5
                                         Mutual Fund Regulation and Compliance Handbook


PERSONAL TRADING BY INSIDERS                          RECORDS AND RECORDKEEPING—Cont’d
    —Cont’d                                            Accountants, 29:2, 29:3
  Anti-fraud provisions                                Chief compliance ocer, 20:5
    Section 17(j), mutual fund aliates, 23:1          Personal trading by insiders, recordkeeping under
    Section 17(j)-1(b), 23:2                                Rule 17j-1(d), 23:6
  Codes of ethics, 23:3, 23:10                         Samples, 29:4
  Fraud. Anti-fraud provisions, above                 REDEEMING SHARES
  Fund trustees, 23:7                                  Generally, 16:1
  Investment Advisers Act, 23:8                        Closed-end funds, 32:8
  Monitoring, 23:5
  Recordkeeping under Rule 17j-1(d), 23:6             REGISTRATION
                                                       Initial SEC registration. SEC (this index)
PETTY CASH
                                                       Investment Advisers Act, 35:1
  Custody, 25:10                                       Pooled funds. Pooled Fund Registration (this
PLAYERS                                                      index)
  Generally, 5:1-5:10                                 REGULATION S-P
  Accounting services, 5:7                             Legal framework, 3:8
  Chief compliance ocer, 5:6                          Legal requirements, 36:2
  Custodian, 5:5
  Distributor, 5:4                                    REMOVAL
  Investment adviser, 5:3                              Chief compliance ocer, 20:2
  Legal services, 5:7                                 REORGANIZATIONS
  Manager, 5:1                                         Combinations and Reorganizations (this index)
  Other services, 5:8
  SEC, 5:10                                           RESEARCH
  Shareholders, 5:9                                    SEC website, 38:3
  Sponsor, 5:1                                        RESOLUTIONS
  Trustees, 5:2                                        Chief compliance ocer, sample board resolu-
POOLED FUND REGISTRATION                                   tions, 20:7
 Generally, 6:1-6:7                                    Money market funds, sample resolution, 31:14
 Additional sources, 6:7                               Shareholder meeting, sample resolution, 28:7
 Consequences, 6:6                                    RULE 38A-1
 DeŽnition, investment company, 6:1                    Chief compliance ocer, 20:4
 Exemptions, 6:5
 Hedge funds, 6:3                                     SAFE HARBOR
 Investment company deŽned, 6:1                         Sale of adviser business, safe harbor for fund
 Not ‘‘primarily in the investment business,’’ 6:2           investment advisor proŽts, 21:4
 Other exceptions, 6:4                                SARBANES-OXLEY ACT OF 2002
 ‘‘Primarily in the investment business,’’ not, 6:2     Generally, 3:6
PORTFOLIO                                             SEC
  Money Market Funds (this index)                       Generally, 5:10, 37:1-37:7
PORTFOLIO COMPANIES                                     Additional sources, 27:3, 37:7, 38:5
  Shareholders, mutual funds as, 24:1                   Advertising, SEC Žling requirements, 15:5
                                                        Civil enforcement, 37:5
‘‘PRIMARILY IN THE INVESTMENT                           Combinations and reorganizations, SEC Žlings,
     BUSINESS’’                                               17:4
   Pooled fund registration, 6:2                        Criminal violations, 37:6
PROXY MATERIALS                                         EDGAR, next-generation, 38:2
  Shareholder meetings, 28:3                            Exemptions, 37:2
                                                        Filings, 38:1
PROXY VOTING
                                                        Initial SEC registration
  Shareholders, Mutual Funds as (this index)
                                                           generally, 12:1-12:5
RECORDS AND RECORDKEEPING                                  additional sources, 12:5
 Generally, 29:1                                           blue sky laws, 12:3

Index-6
Index


SEC—Cont’d                                          SHAREHOLDERS, MUTUAL FUNDS AS
  Initial SEC registration—Cont’d                       —Cont’d
     notiŽcation (Stage 1), 12:1                      Proxy voting—Cont’d
     post-eective amendments and reports (Stages       sample policies and procedures, 24:4
           3 and 4), 12:4                             Sample proxy voting policies and procedures,
     registration statement (Stage 2), 12:2                24:4
  Inspections, 37:3                                   Settlements, Žling claims in class action, 24:2
  Investigations, 37:4                                Voting proxies. Proxy voting, above
  Investment Company Act, SEC report, 2:2           SHARES AND SHAREHOLDERS
  Maintaining SEC registration
                                                      Exchanging shares, 16:2, 16:3
     periodic reports, 27:2
                                                      Meetings (this index)
     post-eective amendments, 27:1
                                                      Redeeming shares, 16:1
  Next-generation EDGAR, 38:2
                                                      Sale of shares. Selling Fund's Own Shares (this
  Periodic reports, 27:2                                   index)
  Post-eective amendments to registration, 27:1      Shareholders
  Registration. Initial SEC registration, above         generally, 5:9
  Research, 38:3                                        meetings. Meetings (this index)
  Rulemaking powers, 37:1                               taxing, 30:5
  Website and interactive Žling system, 38:1-38:5     Taxing shareholders, 30:5
SECURITIES ACT OF 1933                              STAND-ALONE FUND
  Generally, 3:3                                      Simple stand-alone fund with single portfolio,
SECURITIES DEPOSITORIES                                   8:1
  Custody under Rule 17f-4, 25:4                    STATE LAW
SECURITIES EXCHANGE ACT OF 1934                       Legal framework, 3:11
  Generally, 3:4                                    STRUCTURE
SECURITIES LENDING                                    Capital structure. Capital (this index)
  Generally, 25:5                                     Exchange-traded funds, 34:3
                                                      Fund structure. Fund Structure and Type,
SELLING FUND'S OWN SHARES                                 Choice of (this index)
  Generally, 14:1-14:6
  Additional sources, 14:5                          TAXATION
  Distributing fund shares, 14:3                     Combinations and reorganizations, tax
  Distribution expenses, 14:4                             considerations, 17:3
  Late trading, 14:2                                 Distributions, 30:3
  Market timing, 14:2                                Fund, taxing, 30:4
  Pricing shares, 14:1                               Income taxes
  Samples, 14:6                                        generally, 30:1-30:6
                                                       additional sources, 30:6
SERIES FUND                                            distributions, 30:3
  Generally, 8:2                                       fund, taxing, 30:4
  Capital structure, 13:3, 13:5                        regulated investment company, 30:2
  Classes, series funds with, 13:5
                                                       shareholder, taxing, 30:5
SETTLEMENTS                                            Subchapter M, 30:1
  Shareholders, mutual funds as, 24:2                Regulated investment company, 30:2
                                                     Shareholder, taxing, 30:5
SHAREHOLDERS, MUTUAL FUNDS AS
                                                     Subchapter M, 30:1
  Generally, 24:1-24:4
                                                     Tax law, generally, 3:10
  Additional sources, 24:3
  Claims, Žling in class action settlements, 24:2   TRADING
  Class action settlements, Žling claims, 24:2       Insiders. Personal Trading by Insiders (this
  Filing claims, class action settlements, 24:2           index)
  Portfolio companies, voting proxies of, 24:1       Late trading, selling fund's own shares, 14:2
  Proxy voting                                       Options trading, 25:7
     portfolio companies, 24:1                       Restrictions on trading strategies, 21:7

                                                                                                 Index-7
                                       Mutual Fund Regulation and Compliance Handbook


TRUSTEES                                            TRUSTEES—Cont’d
 Generally, 5:2                                       Responsibilities and meetings—Cont’d
 Changes in board, 19:4                                 sample Gartenberg memorandum, 19:8
 Composition of board, 9:2                            Sample trustee questionnaire, 9:6
 Counsel to independent trustees, 19:6                Selecting trustees
 Dividends, trustee responsibilities, 18:6              generally, 9:1-9:6
 Duties, general and particular, 19:2                   additional sources, 9:5
 Fiduciary role, 19:1                                   composition of board, 9:2
 Gartenberg memorandum, sample, 19:8                    independent trustees, 9:3
 Independent trustees                                   ineligible individuals, 9:1
   generally, 19:3                                      mechanics of initial board selection, 9:4
   counsel to, 19:6                                     sample trustee questionnaire, 9:6
   selection, 9:3                                   2008 ECONOMIC CRISIS
 Ineligible individuals, 9:1                          Money market funds, 31:12
 Mechanics of initial board selection, 9:4          TYPE OF FUND
 Meetings, 19:5                                       Fund Structure and Type, Choice of (this
 Money market funds, trustees’ responsibility and          index)
      supervision, 31:3
                                                    USA PATRIOT ACT
 Organization, 19:5
                                                      Legal framework, 3:7
 Personal trading by fund trustees, 23:7
 Responsibilities and meetings                      VEHICLE CHOICE
   generally, 19:1-19:8                               Generally, 7:1-7:7
                                                      Additional sources, 7:6
   additional sources, 19:7
                                                      By-laws, 7:4
   changes in board, 19:4                             Drafting considerations, 7:3
   dividends, 18:6                                    Examples, Žnding, 7:5
   Žduciary role, 19:1                                Finding examples, 7:5
   general and particular duties, 19:2                Samples, 7:7
   independent trustees, 19:3, 19:6                   Special considerations, 7:1
   meetings, 19:5                                     Widely used vehicles, 7:2
   money market funds, 31:3                         VOTING PROXIES
   organization, 19:5                                 Shareholders, Mutual Funds as (this index)




Index-8

				
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Description: Mutual Fund Store Employee document sample