H. Pessin, Alan
Securities law compliance: a guide for brokers, dealers, and investors - Chicago Dow Jones-Irwin 1990 - 470 p.
Contiene: 1. Introduction: the compliance responsibility.- 2. Laws and regulations.- 3. Registration.- 4. Recordkeeping.- 5. Financial and operations support.- 6. Advertising, research, and sales literature.- 7. Underwriting and private placements.- 8. Diversity of products.- 9. Entry and execution of orders.- 10. Supervisin and maintenance of custmer and employee accounts.- 11. Credit regulations.- 12. Options.- 13. Mutual funds.- 14. Reports to regulators and to management.- 15. Opinions and observations on the future af the securities industry.
1-55623-228-4
Mercado de valores
Balances Bróker dealers Inversionistas Publicidad Registro de valores Regulación Underwriting
KF/1070/P47/1990
Securities law compliance: a guide for brokers, dealers, and investors - Chicago Dow Jones-Irwin 1990 - 470 p.
Contiene: 1. Introduction: the compliance responsibility.- 2. Laws and regulations.- 3. Registration.- 4. Recordkeeping.- 5. Financial and operations support.- 6. Advertising, research, and sales literature.- 7. Underwriting and private placements.- 8. Diversity of products.- 9. Entry and execution of orders.- 10. Supervisin and maintenance of custmer and employee accounts.- 11. Credit regulations.- 12. Options.- 13. Mutual funds.- 14. Reports to regulators and to management.- 15. Opinions and observations on the future af the securities industry.
1-55623-228-4
Mercado de valores
Balances Bróker dealers Inversionistas Publicidad Registro de valores Regulación Underwriting
KF/1070/P47/1990