An investment company director's guide to oversight of codes of ethics and personal investing part 3
A guide to unit investment trusts
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004537184 / 1997-06-19
Date of Publication:
May 1, 1997
Date of Creation:
1997
Title:
A guide to unit investment trusts.
Basis of Claim:
New Matter: editorial revisions.
Previous Registration:
Prev. reg. 1994, TX 3-838-449, as On track with unit investment trusts.
Description:
12 p.
Number of similar titles:
1
Other Title:
On track with unit investment trusts.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Investment advisers guide
example document: Investment advisers guide
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A guide to closed-end funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004537185 / 1997-06-19
Date of Publication:
May 1, 1997
Date of Creation:
1997
Title:
A guide to closed-end funds.
Basis of Claim:
New Matter: compilation of new data & editorial revisions.
Previous Registration:
Prev. reg. 1993, TX 3-505-119, as A close look at closed-end funds.
Description:
16 p.
Number of similar titles:
1
Other Title:
A close look at closed-end funds.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Investments in derivatives by registered investment companies
example document: Investments in derivatives by registered investment companies
Dos and don'ts for registered representatives who provide mutual fund advice
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004537186 / 1997-06-19
Date of Publication:
May 30, 1997
Date of Creation:
1997
Title:
Dos and don'ts for registered representatives who provide mutual fund advice.
Basis of Claim:
New Matter: editorial revisions.
Previous Registration:
Prev. reg. 1994, TX 3-809-149, as The do and don't handbook for registered representatives who sell mutual funds.
Description:
28 p.
Number of similar titles:
1
Other Title:
The do and don't handbook for registered representatives who sell mutual funds.
Copyright Claimant:
Investment Company Institute
Names:
A guide to mutual funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004537187 / 1997-06-19
Date of Publication:
May 1, 1997
Date of Creation:
1997
Title:
A guide to mutual funds.
Basis of Claim:
New Matter: editorial revisions.
Previous Registration:
Prev. reg. 1992, TX 3-267-550, as What is a mutual fund?
Description:
16 p.
Number of similar titles:
1
Other Title:
What is a mutual fund?
Copyright Claimant:
Investment Company Institute
Names:
A guide to closed-end funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004559132 / 1997-10-06
Date of Publication:
May 14, 1997
Date of Creation:
1997
Title:
A guide to closed-end funds.
Basis of Claim:
New Matter: compilation, text & revisions.
Previous Registration:
Prev. reg. as A close look at closed-end funds, 1993, TX 3-505-119.
Description:
16 p.
Number of similar titles:
1
Other Title:
A close look at closed-end funds
Copyright Claimant:
Investment Company Institute
Names:
Guia de fondos de inversion con capital fijo
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004559133 / 1997-10-06
Date of Publication:
October 1, 1997
Date of Creation:
1997
Title:
Guia de fondos de inversion con capital fijo.
Basis of Claim:
New Matter: Spanish ed.
Previous Registration:
Prev. reg. 1993, as A close look at closed end funds & A guide to closed-end funds, TX 3-505-119.
Description:
16 p.
Other Title:
A close look at closed end funds
A guide to closed-end funds
A guide to closed-end funds
Copyright Claimant:
Investment Company Institute
Names:
A guide to unit investment trusts
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004559153 / 1997-10-06
Date of Publication:
May 14, 1997
Date of Creation:
1997
Title:
A guide to unit investment trusts.
Basis of Claim:
New Matter: updating & revisions.
Previous Registration:
Prev. reg. 1994 as On track with unit investment trusts, TX 3-986-962.
Description:
12 p.
Number of similar titles:
1
Other Title:
On track with unit investment trusts
Copyright Claimant:
Investment Company Institute
Names:
Guia de fondos de inversion unitarios
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004559154 / 1997-10-06
Date of Publication:
May 14, 1997
Date of Creation:
1997
Title:
Guia de fondos de inversion unitarios.
Application Title:
A guide to unit investment trusts.
Basis of Claim:
New Matter: Spanish ed.
Previous Registration:
Prev. reg. 1994 as On track with unit investment trusts, TX 3-986-962.
Description:
13 p.
Other Title:
On track with unit investment trusts
Copyright Claimant:
Investment Company Institute
Names:
Guia de fondos mutuos
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004559155 / 1997-10-06
Date of Publication:
October 1, 1997
Date of Creation:
1997
Title:
Guia de fondos mutuos.
Application Title:
A guide to mutual funds.
Basis of Claim:
New Matter: Spanish version, updating & revisions.
Previous Registration:
Prev. reg. 1992 as What is a mutual fund?, TX 3-267-550.
Description:
16 p.
Number of similar titles:
1
Other Title:
What is a mutual fund?
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Investment advisers conference, June 12-14, 1991
example document: Investment advisers conference, June 12-14, 1991
A guide to mutual funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004559156 / 1997-10-06
Date of Publication:
May 14, 1997
Date of Creation:
1997
Title:
A guide to mutual funds.
Basis of Claim:
New Matter: updating & revisions.
Previous Registration:
Prev. reg. 1992 as What is a mutual fund?: 8 fundamentals, TX 3-267-550.
Description:
16 p.
Number of similar titles:
1
Other Title:
What is a mutual fund?
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Investment advisers guide--update 1-94
example document: Investment advisers guide--update 1-94
Valuation and liquidity issues for mutual funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004565981 / 1997-05-23
Date of Publication:
February 1, 1997
Date of Creation:
1997
Title:
Valuation and liquidity issues for mutual funds.
Description:
53 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Investment adviser operations and regulation
example document: Investment adviser operations and regulation
A guide to understanding mutual funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004662164 / 1998-04-23
Date of Publication:
March 25, 1998
Date of Creation:
1998
Title:
A guide to understanding mutual funds.
Description:
32 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Update 1-88 of the Investment Company Institute's Blue sky guide
example document: Update 1-88 of the Investment Company Institute's Blue sky guide
Retirement plans & IRAs
Type of Work:
Machine-readable work or computer program
Registration Number / Date:
TX0004675646 / 1998-02-05
Date of Publication:
January 2, 1998
Date of Creation:
1998
Title:
Retirement plans & IRAs : IRAs basic training.
Basis of Claim:
New Matter: updating & revisions.
Previous Registration:
Prev. reg. 1996, TX 4-399-713.
Description:
CD-ROM + 1 v.
Number of similar titles:
1
Similar Title:
Variant title:
Retirement plans & IRAs : IRAs basic training
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Mutual funds and institutional accounts
example document: Mutual funds and institutional accounts
A guide to bond mutual funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004739334 / 1998-02-18
Date of Publication:
January 30, 1998
Date of Creation:
1998
Title:
A guide to bond mutual funds.
Application Title:
Eight basics of bond fund investing.
Basis of Claim:
New Matter: updates, editorial revisions, new ill.
Previous Registration:
Prev. reg. 1993, TX 3-558-650.
Imprint:
Washington, DC : Investment Company Institute, c1998.
Description:
20 p.
Other Title:
Basics of bond fund investing
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Mutual funds and institutional accounts
example document: Mutual funds and institutional accounts
Questions you should ask before you invest in a mutual fund
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004742374 / 1998-04-30
Date of Publication:
March 25, 1998
Date of Creation:
1998
Title:
Questions you should ask before you invest in a mutual fund.
Description:
Folder.
Copyright Claimant:
Investment Company Institute
Names:
Guia de fondos mutuos de bonos
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004752298 / 1998-04-08
Date of Publication:
March 20, 1998
Date of Creation:
1998
Title:
Guia de fondos mutuos de bonos.
Basis of Claim:
New Matter: translation.
Previous Registration:
Prev. reg. as Eight basics of bond fund investing, A guide to bond mutual funds, 1993, TX 3-558-650.
Description:
20 p.
Other Title:
Eight basics of bond fund investing
A guide to bond mutual funds
A guide to bond mutual funds
Copyright Claimant:
Investment Company Institute
Names:
Investment advisors guide
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004758193 / 1998-04-14
Date of Publication:
December 19, 1997
Date of Creation:
1997
Title:
Investment advisors guide : vol. 1-2.
Basis of Claim:
New Matter: additions & revisions.
Previous Registration:
Prev. reg. 1995, TX 4-009-356.
Variant title:
Investment advisors guide : vol. 1-2
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Mutual funds in an electronic environment, 1997
example document: Mutual funds in an electronic environment, 1997
Brokerage allocation practices
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004760714 / 1998-04-20
Date of Publication:
March 1, 1998
Date of Creation:
1998
Title:
Brokerage allocation practices.
Description:
32 p.
Copyright Claimant:
Investment Company Institute
Names:
Understanding shareholder service needs
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004782812 / 1998-05-21
Date of Publication:
March 30, 1998
Date of Creation:
1998
Title:
Understanding shareholder service needs : a participant-funded study for distribution only to participating institute members.
Description:
65 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Mutual funds and institutional accounts
example document: Mutual funds and institutional accounts
Building investor knowledge
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004872936 / 1998-10-28
Date of Publication:
September 16, 1998
Date of Creation:
1998
Title:
Building investor knowledge : mutual fund leaders speak out.
Description:
15 p.
Variant title:
Building investor knowledge : mutual fund leaders speak out
Copyright Claimant:
Investment Company Institute
Names:
Understanding the role of mutual fund directors
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004873114 / 1998-12-10
Date of Publication:
December 4, 1998
Date of Creation:
1998
Title:
Understanding the role of mutual fund directors.
Series:
ICI investor awareness series
Description:
20 p.
Number of similar titles:
1
Copyright Claimant:
Investment Company Institute
Names:
Dos and don'ts for registered representatives who provide mutual fund advice
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004969006 / 1999-05-04
Date of Publication:
April 23, 1999
Date of Creation:
1999
Title:
Dos and don'ts for registered representatives who provide mutual fund advice.
Basis of Claim:
New Matter: editorial revisions.
Previous Registration:
Prev. reg. 1997, TX 4-537-186.
Description:
20 p.
Number of similar titles:
1
Copyright Claimant:
Investment Company Institute
Names:
Investment advisers guide
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005037405 / 1999-09-09
Date of Publication:
August 24, 1999
Date of Creation:
1999
Title:
Investment advisers guide : vol. 1, federal.
Basis of Claim:
New Matter: additional text & revisions.
Previous Registration:
Prev. reg. 1998, TX 4-758-193.
Description:
Sheets.
Number of similar titles:
13
Similar Title:
Variant title:
Investment advisers guide : vol. 1
Copyright Claimant:
Investment Company Institute
Names:
Foreign assets control compliance for mutual funds
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005042953 / 1999-07-06
Date of Publication:
February 1, 1999
Date of Creation:
1999
Title:
Foreign assets control compliance for mutual funds.
Basis of Claim:
New Matter: additional new text.
Copyright Note:
C.O. correspondence.
Description:
21 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: The environment for the investment company industry in the 1990s
example document: The environment for the investment company industry in the 1990s
1998 profile of mutual fund shareholders
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005055937 / 1999-09-16
Date of Publication:
September 3, 1999
Date of Creation:
1999
Title:
1998 profile of mutual fund shareholders.
Application Title:
Profiles of mutual fund shareholders.
Imprint:
Washington, DC : Investment Co. Institute, 1999.
Description:
82 p.
Other Title:
Profile of mutual fund shareholders
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Defined contribution plan distribution choices at retirement
example document: Defined contribution plan distribution choices at retirement
Equity ownership in America, fall 1999
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005072376 / 1999-10-22
Date of Publication:
October 15, 1999
Date of Creation:
1999
Title:
Equity ownership in America, fall 1999.
Description:
101 p.
Copyright Claimant:
Investment Company Institute & Securities Industry Association
Names:
Investment Company Institute (278 documents)
example document: Eight basics of bond fund investing
Securities Industry Association (158 documents)
example document: Best practices for research
example document: Eight basics of bond fund investing
Securities Industry Association (158 documents)
example document: Best practices for research
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Understanding the role of mutual fund directors
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005088508 / 1999-11-05
Date of Publication:
October 25, 1999
Date of Creation:
1999
Title:
Understanding the role of mutual fund directors.
Description:
24 p.
Number of similar titles:
1
Copyright Claimant:
Investment Company Institute
Names:
401(k) plan participants
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005237279 / 2000-06-19
Date of Publication:
June 12, 2000
Date of Creation:
2000
Title:
401(k) plan participants : characteristics, contributions, and account activity.
Description:
53 p.
Variant title:
401(k) plan participants : characteristics, contributions, and account activity
Copyright Claimant:
Investment Company Institute
Names:
An investment company director's guide to oversight of codes of ethics and personal investing
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005263862 / 2000-08-22
Date of Publication:
July 15, 2000
Date of Creation:
2000
Title:
An investment company director's guide to oversight of codes of ethics and personal investing.
Description:
16 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Investment advisers conference, June 12-14, 1991
example document: Investment advisers conference, June 12-14, 1991
Investment advisers guide
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005305367 / 2000-11-17
Date of Publication:
August 30, 2000
Date of Creation:
2000
Title:
Investment advisers guide : vol. 2--state.
Basis of Claim:
New Matter: additional text & revisions.
Previous Registration:
Prev. reg. 1998, TX 4-758-193.
Description:
1 v.
Number of similar titles:
13
Variant title:
Investment advisers guide : vol. 2--state.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (278 documents)
example document: Mutual funds in an electronic environment, 1997
example document: Mutual funds in an electronic environment, 1997
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