Treatise Update: Mutual Funds and Exchange Traded Funds Regulation (Third Edition)

Mutual Funds and Exchange Traded Funds Regulation (Third Edition) offers professionals who work at or advise mutual and exchange-traded funds an in-depth look into the SEC and DOL rules that impact these funds. Readers will discover insights on taxation considerations, prospectus delivery and disclosure standards, safe harbors, valuation practices, compliance concerns, conflicts of interest, contract drafting, marketing, and inspector request response strategies.  

The new release includes updates to the following chapters:

  • Chapter 11, Proxy Voting, reviews the SEC’s July 2022 rescission of part of the 2020 amendments to the proxy and solicitation rules under the Exchange Act; the November 2022 SEC amendments designed to enhance disclosures by investment companies regarding proxy votes; and the 2022 DOL Rule changes to the prior rulemaking.
  • Chapter 25, SEC Inspections, provides updated discussions on routine examinations and the characteristics the SEC’s Office of Compliance Inspections and Examinations (EXAMS) uses when ranking firms; and the incorporation of the new Marketing Rule into the examination process.
  • Chapter 32, Money Market Funds, covers Rule 2a-7 and the other rules (the “2023 Amendments”) that govern money market funds, including changes to the liquidity fee and redemption gate framework under Rule 2a-7; and disclosure Form N-1A and Form N-MFP. New discussion of the amendment to Rule 2a-7 to allow stable NAV money market funds to implement a reverse distribution or similar share cancellation mechanism (RDM) that would reduce the number of the fund’s outstanding shares in order to maintain a stable share price in a negative interest rate environment.
  • Chapter 35,Exchange-Traded Funds, includes revisions to Rule 12d1-4 under the Investment Company Act, a new rule designed to streamline and enhance the regulatory framework for funds that invest in other funds (“funds of funds”).
  • Chapter 45, Investment Management M&A, discusses the Inflation Reduction Act.

The Table of Authorities and Index have also been updated for this release.

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Free Legal Form of the Month

PLI PLUS offers unlimited electronic access to more than 4,500 downloadable, searchable, and editable legal forms ready for use in your practice. In an effort to highlight this unique content type, we’ve selected one form per month and made it available for anyone to download for free – no subscription required.

October’s free form:

Sample Discovery Confidentiality Order Regarding Trade Secrets

More information about Legal Forms & Checklists:

  • Forms & Checklists Flyer – This flyer provides an overview of the forms & checklists on PLI PLUS and highlights a handful of popular examples.
  •  Popular PLUS Forms – This flyer provides a list of the top five most downloaded forms in prominent practice areas on PLI PLUS.

Send us an email at plus@pli.edu to learn more.

Treatise Update: Sinclair on Federal Civil Practice (Fifth Edition)

Sinclair on Federal Civil Practice is a two-volume treatise that is designed to give quick and authoritative answers for issues arising in federal civil litigation and to serve as a guide to the principal rules and tactical considerations guiding lawsuits in the federal courts. It starts with the layout of the court system and the nature of its key personnel, followed by jurisdiction and venue principles, and then turns to the sequence of litigation, from pleading to discovery, trial, and then appeal, while explaining the rationale of the rules, citing the key interpretive cases, and offering court-tested practice tips.

The new release includes the following updates:

  • Chapter 1: The Federal Judicial System includes a new detailed discussion of alternative dispute resolution in federal civil practice.
  • The Compendia of Recent Cases includes numerous recent federal cases, providing a quick resource for identifying relevant authorities (See the Compendia of Recent Cases Volume 1 and Volume 2).

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PLI PLUS subscribers can access this title through their subscription.

What’s New in PLI PLUS

We add content to PLI PLUS every month to ensure our subscribers have access to the most up-to-date and relevant secondary source legal documents. Renowned legal experts regularly update our acclaimed Treatises/Practice Guides, Course Handbooks, Answer Books, Transcripts, and Forms to reflect recent changes and developments in the law.

Click here to see what we added in September 2024!

Treatise Update: Commercial Legal Finance

Commercial Legal Finance is a comprehensive guide to the commercial legal finance industry that offers practical guidance on the mechanics of litigation and arbitration finance in key jurisdictions and practice areas around the world. This book introduces the benefits and use cases for commercial legal finance for in-house and law firm lawyers and addresses key questions concerned with legal finance structures, pricing, and mechanics, providing a step-by-step overview of the process for obtaining legal finance.

Highlights from the new release include:

  • New Chapter on Legal Finance and Insurance: As the commercial legal finance field has developed to address the needs of businesses to transfer or share legal risk, it has intersected with another discipline that regularly trades in such risk: the commercial insurance industry. This new chapter discusses the relationship between legal finance and insurance products that facilitate or complement the funding and monetization of legal claims offered by legal financiers (see Chapter 12).

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription.

Free Legal Form of the Month

PLI PLUS offers unlimited electronic access to more than 4,500 downloadable, searchable, and editable legal forms ready for use in your practice. In an effort to highlight this unique content type, we’ve selected one form per month and made it available for anyone to download for free – no subscription required.

September’s free form:

Patent License Agreement

More information about Legal Forms & Checklists:

  • Forms & Checklists Flyer – This flyer provides an overview of the forms & checklists on PLI PLUS and highlights a handful of popular examples.
  •  Popular PLUS Forms – This flyer provides a list of the top five most downloaded forms in prominent practice areas on PLI PLUS.

Send us an email at plus@pli.edu to learn more.

Most Popular Books on PLI PLUS So Far This Year!

The tallies are in! Here are the books PLI PLUS users are accessing the most in 2024 so far…

Popular Banking Titles

  1. Asset-Based Lending: A Practical Guide to Secured Financing
  2. Financial Product Fundamentals: Law, Business, Compliance
  3. Fund Finance
  4. Consumer Financial Services Answer Book
  5. Coping with U.S. Export Controls and Sanctions

Popular Corporate & Securities Titles

  1. Private Equity Funds: Formation and Operation
  2. Broker-Dealer Regulation
  3. Drafting and Negotiating Corporate Agreements
  4. Corporate Compliance Answer Book
  5. Acquiring or Selling the Privately Held Company

Popular Employment Titles

  1. Fragomen on Immigration Fundamentals: A Guide to Law and Practice
  2. Understanding Employment Law
  3. Employment Law Institute
  4. Wage & Hour Litigation and Compliance
  5. California Employment Law

Popular Estates & Trusts Titles

  1. Art Law: The Guide for Collectors, Investors, Dealers & Artists
  2. Manning on Estate Planning
  3. Blattmachr on Income Taxation of Estates and Trusts
  4. Annual Estate Planning Institute
  5. Private Clients Legal & Tax Planning Answer Book

Popular Intellectual Property Titles

  1. Artificial Intelligence Law
  2. How to Write a Patent Application
  3. Patent Law: A Practitioner’s Guide
  4. Faber & Kowalski on Mechanics of Patent Claim Drafting
  5. Intellectual Property Law Answer Book

Popular Litigation Titles

  1. Thinking Like a Writer: A Lawyer’s Guide to Effective Writing and Editing
  2. Stepping It Up: A Guide for Mid-Level Law Firm Associates
  3. Fundamentals of Taking and Defending Depositions
  4. Attorney-Client Privilege Answer Book
  5. Trial by Jury

Popular Real Estate Titles

  1. Annual Real Estate Tax Forum
  2. Friedman and Smith on Contracts and Conveyances of Real Property
  3. Annual Commercial Real Estate Institute
  4. Commercial Ground Leases
  5. Holtzschue on Real Estate Contracts and Closings: A Step-by-Step Guide to Buying and Selling Real Estate

Popular Tax Titles

  1. The Partnership Tax Practice Series: Planning for Domestic and Foreign Partnerships, LLCs, Joint Ventures & Other Strategic Alliances
  2. Tax Planning for Domestic & Foreign Partnerships, LLCs, Joint Ventures & Other Strategic Alliances
  3. Business Taxation Deskbook: Corporations, Partnerships, Subchapter S, and International
  4. Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings
  5. Transfer Pricing Answer Book

Download a PDF flyer of this post to share with colleagues: Popular Books on PLI PLUS. See also the Top 10 Most Popular Forms So Far in 2024.

New Edition! International Tax & Estate Planning: A Practical Guide for Multinational Investors (Fourth Edition)

PLI Press is proud to announce the publication of the fourth edition of International Tax & Estate Planning.

This book deals with the management and disposition of multinational estates. It presents a practical approach to maximizing assets, minimizing taxes and risks, and avoiding legal disputes. Featuring helpful charts and checklists, it offers strategies for drafting wills and trust documents that secure clients’ interests. It also provides tips on how to prepare estate planning vehicles and individualized testamentary plans, protect investments against government expropriation, calculate tax credits and owed taxes, and navigate federal reporting requirements and relevant forms.

Some of the recent developments discussed in this new edition include:

  • Domicile: Clarification of the legal construct of “domicile” and whether it is determined based on “permanency” or “an intent to return indefinitely” (see section 1:3.1).
  • Gift Tax: Updated information on the requirements a nonresident alien must meet to qualify for the annual gift tax exclusion (see section 3:6).
  • U.S. Federal Reporting Requirements: Exploration of the reasons why increased regulatory attention has been given to the conflict between an individual’s right to privacy and the government’s need to access financial information for tax and other fiscal purposes (see NEW Chapter 5).
  • Trusts: Discussion of how to navigate the complexities of conflicting intersecting principles in civil and common law (see FULLY REWRITTEN Chapter 6).
  • Cryptocurrency and Digital Assets in Estate Planning:  Specification of the additional details that must be included in a digital asset provision to ensure that these assets may be accessed (see section 7:8.2).

Order a print copy today.

PLI PLUS subscribers can access this title through their subscription.