Investment Company Training Series: Investment Company Act - Focus on Section 12

Date: 
July 25, 2017 -
11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Company
Speaker(s): 
ACA Compliance Group’s Vicki Hulick and Don Delano

In the 1930s, the relative novelty of investment companies combined with the aftermath of the Stock Market Crash of 1929 meant that there was a lot happening in the securities markets. This made enacting the Investment Company Act of 1940 (and Section 12) particularly important. 

On Tuesday, July 25 at 11 am EDT, please join ACA Compliance Group’s Vicki Hulick and Don Delano for a live discussion on Section 12 of the Investment Company Act.

We will discuss:

  • What happened in the 1930s that laid the foundation for Section 12’s adoption
  • The functions and activities Section 12 prohibits or restricts when dealing with investment companies
  • The rules adopted by the SEC to address particular issues and how they are applied in the real world
  • How you can test your systems to ensure compliance

There will be time allotted to answer specific questions and respond to comments from webcast attendees.