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Unit Investment Trusts - Duke Law Scholarship Repository
regulation of the trust by the Securites Acts of 1933 and 1940. Finally, he compares the unit investment trust with other investment vehicles. The unit investment .
http://scholarship.law.duke.edu/cgi/viewcontent.cgi?article=3012&context=dlj

unit investment trust regulation Policies and Procedures


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  • Unit Investment Trusts - The Free Dictionary
    Noun, 1. unit investment trust - a regulated investment company consisting of professional managers who issue redeemable securities representing a portfolio of .
    http://www.thefreedictionary.com/Unit+Investment+Trusts



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  • A GUIDE TO UNIT INvEsTmENT TrUsTs AT rAymOND jAmEs
    Unit Investment Trusts. A unit investment trust, also known as a defined portfolio, is . The popularity of unit investment trusts results from many investor benefits and . Consistent with industry regulations, these services could include (but are .
    http://www.raymondjames.com/disclosure_uit.pdf

  • Unit Investment Trusts - FINRA
    Q: What information should member firms include in communications with the public when promoting equity strategy unit investment trusts (UITs)? A: Typically .
    http://www.finra.org/Industry/Regulation/Guidance/RCA/p015395

  • Unit Investment Trusts (UITs)
    May 8, 2007 . A"unit investment trust," commonly referred to as a "UIT," is one of three . UITs are regulated primarily under the Investment Company Act of .
    http://www.sec.gov/answers/uit.htm



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  • Regulations on Unit Investment Trust Funds | eHow.com
    Regulations on Unit Investment Trust Funds. Unit Investment Trusts are a type of investment company that sells shares of a pool of investments with a specific .
    http://www.ehow.com/list_6234587_regulations-unit-investment-trust-funds.html



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  • unit investment trust - The Free Dictionary
    Noun, 1. unit investment trust - a regulated investment company consisting of professional managers who issue redeemable securities representing a portfolio of .
    http://www.thefreedictionary.com/unit+investment+trust


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  • Frequently Asked Questions - First Trust
    A unit investment trust (UIT) is a pooled investment vehicle in which a portfolio of stocks, . Investment companies are regulated primarily under the Investment .
    http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=e6c35f53-2537-4aac-af17-53a18122f6b1

  • Unit trust - Wikipedia, the free encyclopedia
    A unit trust is a form of collective investment constituted under a trust deed. . Subject to regulatory rules these prices are allowed to differ and relate to the highs .
    http://en.wikipedia.org/wiki/Unit_trust


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  • Widely Held Fixed Investment Trust Tax Reporting | Scottrade ...
    . securities and some exchange-traded funds and unit investment trusts), the Internal Revenue Service (IRS) is tightening up its enforcement of regulations that .
    http://research.scottrade.com/Public/knowledgecenter/knowhownews/intheknow.asp?nlid=3d49b116b87b432b815608f97698cd32


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  • FDIC Law, Regulations, Related Acts - Advisory Opinions
    Dec 3, 2009 . You note that unit investment trusts are insured as corporations, rather . The deposit is made by the unit investment trust which is the owner on .
    http://www.fdic.gov/regulations/laws/rules/4000-5760.html

  • BOND FUND - Municipal Securities Rulemaking Board
    Unit Investment Trust or U.I.T. – A fixed portfolio of municipal securities sold to investors in trust “units” that represents fractional undivided ownership interests in .
    http://www.msrb.org/msrb1/glossary/view_def.asp?param=BONDFUND

  • UITs - What are UITs?
    Unit investment trusts (UITs) may be the least understood, and certainly least . to shareholders; Regulated by the U.S. Securities and Exchange Commission .
    http://mutualfunds.about.com/od/typesoffunds/a/UITS.htm

  • investment trust - The Free Dictionary
    unit investment trust, unit trust - a regulated investment company consisting of professional managers who issue redeemable securities representing a portfolio .
    http://www.thefreedictionary.com/investment+trust

  • Unit Investment Trust | DefineFinance
    A Unit Investment Trust (UIT) is a type of investment company that sells shares of . and can be either a regulated investment corporation (RIC) or a grantor trust.
    http://www.definefinance.com/unit-investment-trust


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  • Investment trust - Wikipedia, the free encyclopedia
    For Unit investment trust, a type of US fund, see Unit investment trust. . given that (according to law) an investment "trust" is not in fact a "trust" in the legal sense .
    http://en.wikipedia.org/wiki/Investment_trust