大学金融英语一课件陈庆柏 王景仙ISBN 9787566304827 PPTchapter 25.pptVIP

Chapter Twenty-Five U.S. Mutual Fund Regulation Learning objectives After studying this chapter you should be able to: 1. Answer why mutual funds must be regulated 2. Tell the main areas of mutual fund regulation 3. Explain the legal basis of U.S. mutual fund regulation Notes I. New Words 1. operations n. 业务经营 2. terms n. 条款 e.g. the terms of the contract 合同条款 3. custodian n. 管理人；保管人 4. currently adv. 当前地 5. off-thea. 不在文字页面中的 6. tax-exempt a. 免税的 7. bible n. 圣经 8. visionaries n. 好幻想的人，空想家 Notes 9. affiliates a. 附属的 10. knowingly adv. 故意地intentionally 11. indefinite a. 无定限的 12. to segregate vt. 使分离，使分开 13. to evaluate vt. 评估 14. conduit n. 管道 15. prescribed a. 规定的，法定的 16. speculative a. 投机性的 Notes II. Useful and Idiomatic Expressions 1. be connected with... 与……相关的 2. a year from now 一年后 3. to register with... 在……进行注册登记 4. the state blue-sky regulations 按州一级证券法制定的条例 5. to keep track of... 对……作记录 6. to respond to... 对……做出反应 7. to charge a fee 收费 8. by law 依照法律 9. to pass sth. on to sb. 将……分配给某人 10. to maintain records of... 保持对……所作记录 Notes 11. to file sth. with... 向……提交…… 12. be subject to... 受……的管辖 13. to place restrictions on... 对……进行限制或约束 14. on an annual basis 在一年一次的基础上 15. under this Act 按此法 16. to meet requirements 达到要求 17. in turn 转过来 18. in one’s jurisdiction 在……管辖下 19. to impose limits on... 对……进行限制 20. on top of... 除……之外 Notes III. Key Terms 1. mutual fund (美) 互助基金，共同基金，投资公司= a company or trust that uses its capital to invest in other companies. Some mutual funds are of the close-end type, and some are of the open-end type. In Britain, mutual fund is called unit trust. 2. operating policies 经营政策 3. NASD (National Association of Securities Dealers) 证券商全国协会 4. tombstone ads 墓碑广告，证券销售广告a large notice placed in financial newspapers announcing that a security will be offered for sale by an underwriter or group of underwriters 5. underwriters n. 证券承销商investment banks that guarantee prices on securities to corporations and th