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1: Introduction to Course
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 Overview
Course Navigation
Resources
Summary
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2: Mutual Fund Distributions
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Objectives
Conduit Tax Treatment
Generating Dividends
Key Distribution Dates
Distributions and Taxes
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Objectives
Making Money in Mutual Funds
Total Returns
Market Indices
Performance
After-Tax Total Returns
Yield
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Introduction
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4: Fund Sponsor and Board of Directors
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Objectives
Fund Sponsor
Board of Directors/Trustees
Interested Directors and Independent Directors
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5: Investment Adviser, Administrator, and Officers
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Objectives
Investment Adviser
Administrator
Officers
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6: Principal Underwriter, Wholesalers, and Registered Representatives
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Objectives
Principal Underwriter/Distributor
Registered Representatives
Distributing Shares
Distribution Channels
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7: Independent Auditor, Custodian, and Transfer Agent
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Objectives
Independent Auditor
Custodian
Transfer Agent
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Introduction
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8: Mutual Fund Regulators and Associations
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Objectives
Regulators
FINRA
State Securities Commissions
Investment Company Institute
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9: Mutual Fund Regulations
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Objectives
Key Statutes
The Securities Act of 1933
The Securities Exchange Act of 1934
The Investment Company Act of 1940
Rule 38a-1
The Investment Advisers Act of 1940
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10: Shareholder Voting Rights
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Objectives
Shareholder Voting Rights
How Shareholders Vote
Omnibus Accounts
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Introduction
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11: The Mutual Fund Prospectus
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Objectives
Purpose of the Prospectus
Cover Pages
Risk/Return Summary
Investment Adviser Information
Shareholder Information
Financial Highlights Table
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12: Fund Information Sources and Rankings
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Objectives
Statement of Additional Information
Shareholder Reports
How to Read Newspaper Fund Tables
Rankings and Ratings
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Introduction
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Introduction
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