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Printer-Friendly Mutual Funds and Regulation

Other Registration Options & Cancellation Policy

Tentative 2009 Agenda (PDF 51 KB)

This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.

Course Description

This course covers federal, state and FINRA regulations related to mutual fund sales. Coursework addresses fees, sales charges, suitability considerations, disclosure and regulatory concerns surrounding market timing and late trading.

After completing this course, you will be able to:

• Discuss key mutual fund rules and regulations, including the Investment Company Act of 1940
• Describe the roles of various mutual fund distribution channels including broker-dealers, financial planners, banks and retirement funds
• Explain mutual fund sales charges, management fees and breakpoints, and the characteristics of load, no-load, front-end and back-end funds
• Discuss mutual fund suitability, point of sale disclosure and supervisory considerations
• Discuss regulatory concerns surrounding market timing and late trading

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.