ICI Webinar Series on Mutual Fund Filing and Disclosure Requirements
August 23, 2011
2:00–3:30 p.m. (ET)
Mutual funds are required to file a number of disclosure documents with the Securities and Exchange Commission. Navigating these regulatory requirements can be challenging. To assist in educating new staff and to provide a comprehensive refresher for those who are more experienced, the Investment Company Institute will host a series of webinars designed for legal, accounting, and compliance professionals at mutual fund and outside firms.
Past webinars are archived and are available for purchase.
- $50 for members
- $75 for nonmembers
- Shareholder Reports
(including content, certification, audit, and SEC review of N-CSR and N-Q)
CONTINUING PROFESSIONAL EDUCATION (CPE) CREDIT
Upon completion of the this webinar, each participant will be eligible for approximately 1.5 hours of CPE credit.
The Investment Company Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417; www.nasba.org .
Learning Objectives: Learn the procedural and content requirements of disclosure documents that mutual funds are required to file with the Securities and Exchange Commission.
Program Level: Basic
Delivery Mode: Group Internet-Based Program
No prerequisites or advance preparations are necessary for these programs.
If you would like to obtain CPE credit for this webinar, you must register as an individual participant, stay on the line throughout the webinar, and participate in the polling questions. Partial credit will not be given. Please direct all questions regarding administrative policies or CPE credit to Judy Lee of the Investment Company Institute at firstname.lastname@example.org or 202/218-3575.
Participants may submit questions on the webinar topics that they would like the panelists to address by emailing those questions in advance of the webinar. In addition, participants will be able to submit questions electronically to the panel during the webinar.
If you have any questions on the webinar registration process, please contact ICI’s Conference Division at 202/326-5968 or email@example.com.