An investment company director's guide to oversight of codes of ethics and personal investing



The distribution connection

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003332476 / 1992-05-27
Date of Publication:
March 12, 1991
Date of Creation:
1991
Title:
The distribution connection : channels introduce potential owners to mutual funds.
Description:
1 v.
Variant title:
The distribution connection : channels introduce potential owners to mutual funds
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Copyrights records by Investment Company Institute

Planning for college?

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003342132 / 1992-06-22
Date of Publication:
January 3, 1992
Date of Creation:
1992
Title:
Planning for college? : the mutual fund advantage becomes a parent.
Basis of Claim:
New Matter: "editorial revisions and updates."
Previous Registration:
Prev. reg. 1991, TX 3-145-026.
Description:
12 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

How to use benefits in the selling of mutual funds

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003347962 / 1992-06-22
Date of Publication:
April 8, 1992
Date of Creation:
1992
Title:
How to use benefits in the selling of mutual funds.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

FUNDS

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003354893 / 1992-07-13
Date of Publication:
May 8, 1992
Date of Creation:
1992
Title:
FUNDS : user manual.
Basis of Claim:
New Matter: additions & revisions.
Previous Registration:
Prev. reg. 1989, TX 2-593-108.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Handbook of foreign markets for mutual funds

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003355363 / 1992-07-13
Date of Publication:
May 19, 1992
Date of Creation:
1992
Title:
Handbook of foreign markets for mutual funds.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Mutual fund transfer agents--trends and billing practices

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003357052 / 1992-05-13
Date of Publication:
November 16, 1990
Date of Creation:
1990
Title:
Mutual fund transfer agents--trends and billing practices.
Basis of Claim:
New Matter: compilation, revisions, additions.
Copyright Note:
C.O. correspondence.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Mutual fund transfer agents

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003390710 / 1992-09-23
Date of Publication:
July 29, 1992
Date of Creation:
1992
Title:
Mutual fund transfer agents : trends & billing practices, 1991.
Basis of Claim:
New Matter: compilation of new data, revisions.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

The best is yet to be

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003404309 / 1992-09-23
Date of Publication:
July 28, 1992
Date of Creation:
1992
Title:
The best is yet to be : a study of America's aging affluent.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

The boom continues

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003407879 / 1992-09-22
Date of Publication:
March 9, 1987
Date of Creation:
1987
Title:
The boom continues : Perspective on mutual fund activity : winter 1986-1987 : report no. 12.
Other Title:
Perspective on mutual fund activity
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (107 documents)
example document: Mutual funds and institutional accounts

The 1990s resource

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003407880 / 1992-09-22
Date of Publication:
September 25, 1990
Date of Creation:
1990
Title:
The 1990s resource : a comprehensive bibliography for further research supplementing "The environment for the investment company industry in the 1990s" / by Heidi S. Fiske.
Other Title:
The environment for the investment company industry in the 1990s
Copyright Claimant:
Investment Company Institute (employer for hire)
Names:
Heidi S. Fiske
Investment Company Institute

The Investment Company service directory

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003421716 / 1992-06-22
Date of Publication:
August 22, 1991
Date of Creation:
1991
Title:
The Investment Company service directory.
Edition:
Premier ed.
Description:
164 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

The baby boom generation

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003426720 / 1992-11-05
Date of Publication:
June 3, 1991
Date of Creation:
1991
Title:
The baby boom generation : a financial portrait.
Description:
68 p.
Variant title:
The baby boom generation : a financial portrait
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

The baby boom generation

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003427661 / 1992-11-05
Date of Publication:
June 3, 1991
Date of Creation:
1991
Title:
The baby boom generation : a financial portrait : management summary.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Investment Company Institute abandoned property guide

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003474683 / 1993-01-26
Date of Publication:
October 1, 1992
Date of Creation:
1992
Title:
Investment Company Institute abandoned property guide : vol. 1-2.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

1992 ICI Mutual Fund Training Conference

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003474684 / 1993-01-26
Date of Publication:
June 17, 1992
Date of Creation:
1992
Title:
1992 ICI Mutual Fund Training Conference.
Basis of Claim:
New Matter: additions & revisions.
Other Title:
ICI Mutual Fund Training Conference
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

1992 ICI Securities Law Procedures Conference

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003474685 / 1993-01-26
Date of Publication:
December 3, 1992
Date of Creation:
1992
Title:
1992 ICI Securities Law Procedures Conference.
Basis of Claim:
New Matter: additions & revisions.
Other Title:
ICI Securities Law Procedures Conference
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (107 documents)
example document: Mutual funds and institutional accounts

Blue Sky guide update, 2-92

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003474893 / 1993-01-26
Date of Publication:
August 26, 1992
Date of Creation:
1992
Title:
Blue Sky guide update, 2-92.
Basis of Claim:
New Matter: additions & revisions.
Description:
Sheets.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

St. James mutual fund directory

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003481564 / 1993-02-26
Date of Publication:
January 1, 1991
Date of Creation:
1991
Title:
St. James mutual fund directory.
Basis of Claim:
New Matter: "compilation and text editing with original writing."
Imprint:
Chicago : St. James Press, c1991.
Description:
535 p.
Other Title:
Saint James mutual fund directory
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Blue Sky Compliance Workshop, the Back Bay Hilton, Boston, March 18, 1992

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003488095 / 1993-01-26
Date of Publication:
March 18, 1992
Date of Creation:
1992
Title:
Blue Sky Compliance Workshop, the Back Bay Hilton, Boston, March 18, 1992.
Application Title:
1992 Blue Sky Compliance Workshop.
Basis of Claim:
New Matter: additions & revisions.
Description:
1 v.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Portfolio Compliance Workshop, Le Parker Meridien, New York, May 6, 1992

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003488096 / 1993-01-26
Date of Publication:
May 6, 1992
Date of Creation:
1992
Title:
Portfolio Compliance Workshop, Le Parker Meridien, New York, May 6, 1992.
Application Title:
1992 Portfolio Compliance Workshop.
Basis of Claim:
New Matter: additions & revisions.
Description:
1 v.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Mutual fund custody fees & services

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003501164 / 1993-03-11
Date of Publication:
May 20, 1992
Date of Creation:
1992
Title:
Mutual fund custody fees & services : bank profile.
Description:
85 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (107 documents)
example document: Enhancing a culture of independence and effectiveness

Time to celebrate life

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003505118 / 1993-03-11
Date of Publication:
February 25, 1993
Date of Creation:
1993
Title:
Time to celebrate life : investing for retirement with mutual funds.
Description:
24 p.
Variant title:
Time to celebrate life : investing for retirement with mutual funds
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

A close look at closed-end funds

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003505119 / 1993-03-11
Date of Publication:
October 2, 1992
Date of Creation:
1992
Title:
A close look at closed-end funds.
Basis of Claim:
New Matter: compilation & revisions.
Previous Registration:
Prev. reg. 1989.
Description:
12 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

How to use services in the selling of mutual funds

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003505120 / 1993-03-11
Date of Publication:
December 11, 1992
Date of Creation:
1992
Title:
How to use services in the selling of mutual funds.
Basis of Claim:
New Matter: compilation & revisions.
Description:
Folder.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (107 documents)
example document: Mutual funds and institutional accounts

The do & don't handbook

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003505121 / 1993-03-11
Date of Publication:
October 12, 1992
Date of Creation:
1992
Title:
The do & don't handbook : for registered representatives who sell mutual funds.
Basis of Claim:
New Matter: revisions.
Previous Registration:
Prev. reg. 1987, TX 2-224-179.
Description:
1 v.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Profiles of mutual fund shareholders

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003517632 / 1993-03-11
Date of Publication:
November 24, 1992
Date of Creation:
1992
Title:
Profiles of mutual fund shareholders.
Description:
1 v.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute (107 documents)
example document: Mutual funds

1992 perspective on mutual fund activity--a banner year

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003517633 / 1993-03-11
Date of Publication:
November 14, 1992
Date of Creation:
1992
Title:
1992 perspective on mutual fund activity--a banner year : vol. 2.
Description:
1 v.
Other Title:
Perspective on mutual fund activity--a banner year
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Understanding shareholder redemption decisions

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003517634 / 1993-03-11
Date of Publication:
January 27, 1993
Date of Creation:
1993
Title:
Understanding shareholder redemption decisions.
Description:
1 v.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Trends in fund ownership

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003517635 / 1993-03-05
Date of Publication:
July 13, 1992
Date of Creation:
1992
Title:
Trends in fund ownership : a comparative study.
Description:
1 v.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute

Distributing mutual funds through broker-dealers

Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003554071 / 1993-06-23
Date of Publication:
June 15, 1993
Date of Creation:
1993
Title:
Distributing mutual funds through broker-dealers : the needs and preferences of wirehouse brokers, regional brokers, and financial planners.
Description:
88 p.
Copyright Claimant:
Investment Company Institute
Names:
Investment Company Institute
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