大学金融英语chapter25U.S.MutualFundRegulation.ppt

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1、ChapterTwenty-FiveU.S.MutualFundRegulationLearningobjectivesAfterstudyingthischapteryoushouldbeableto:1.Answerwhymutualfundsmustberegulated2.Tellthemainareasofmutualfundregulation3.ExplainthelegalbasisofU.S.mutualfundregulationNotesI.NewWords1.operationsn.业务经营2.termsn.

2、条款e.g.thetermsofthecontract合同条款3.custodiann.管理人；保管人4.currentlyadv.当前地5.off-the-pagea.不在文字页面中的6.tax-exempta.免税的7.biblen.圣经8.visionariesn.好幻想的人，空想家Notes9.affiliatesa.附属的10.knowinglyadv.故意地intentionally11.indefinitea.无定限的12.tosegregatevt.使分离，使分开13.toevaluatevt.评估14.condui

3、tn.管道15.prescribeda.规定的，法定的16.speculativea.投机性的NotesII.UsefulandIdiomaticExpressions1.beconnectedwith...与……相关的2.ayearfromnow一年后3.toregisterwith...在……进行注册登记4.thestateblue-skyregulations按州一级证券法制定的条例5.tokeeptrackof...对……作记录6.torespondto...对……做出反应7.tochargeafee收费8.bylaw依照法

4、律9.topasssth.ontosb.将……分配给某人10.tomaintainrecordsof...保持对……所作记录Notes11.tofilesth.with...向……提交……12.besubjectto...受……的管辖13.toplacerestrictionson...对……进行限制或约束14.onanannualbasis在一年一次的基础上15.underthisAct按此法16.tomeetrequirements达到要求17.inturn转过来18.inone’sjurisdiction在……管辖下19.to

5、imposelimitson...对……进行限制20.ontopof...除……之外NotesIII.KeyTerms1.mutualfund(美)互助基金，共同基金，投资公司=acompanyortrustthatusesitscapitaltoinvestinothercompanies.Somemutualfundsareoftheclose-endtype,andsomeareoftheopen-endtype.InBritain,mutualfundiscalledunittrust.2.operatingpolicies

6、经营政策3.NASD(NationalAssociationofSecuritiesDealers)证券商全国协会4.tombstoneads墓碑广告，证券销售广告alargenoticeplacedinfinancialnewspapersannouncingthatasecuritywillbeofferedforsalebyanunderwriterorgroupofunderwriters5.underwritersn.证券承销商investmentbanksthatguaranteepricesonsecuritiesto

7、corporationsandthensellthesecuritiestothepublic6.licensedstockbroker有营业许可证的股票/证券经纪人7.no-loadfund不收服务费的互助基金amutualfundthatdoesnotchargeafeewhenfundsareaddedtoorwithdrawnfromthefundNotes8.realizedcapitalgains已实现的资本利得9.conflictsofinterest利害冲突，违背公众利益的行为10.commissionn.佣金=ap

8、aymentmadetoanintermediary,suchasanagent,salesman,broker11.certifiedpublicaccountingfirm职业会计事务所12.SECregistrationrule