Thursday, May 4, 2017
8:30 a.m. – 9:30 a.m.
Morrison & Foerster LLP
250 West 55th Street
New York, NY 10019
Alaia Capital & Morrison & Foerster Seminar
A unit investment trust, or UIT, is a type of registered investment company under the Investment Company Act of 1940, in which a portfolio of stocks, bonds or other securities are professionally selected and deposited into the trust. The portfolio is fixed and unmanaged. A UIT can offer investors diversification, liquidity and access to specific investment strategies. A UIT also may offer investors access to more structured returns that, in certain respects, may resemble the returns often associated with market-linked or structured products. During the session, the speakers will discuss:
- Basic organizational structure and participants;
- Regulation of UITs;
- Filing and other requirements applicable to UITs;
- Structured UITs;
- Benefits associated with Structured UITs;
- UITs and the DOL’s fiduciary duty rule; and
- Fiduciary and advisory issues generally.
CLE credit is pending for California and New York.
For more information, or to register, please click here.