Securities law compliance: a guide for brokers, dealers, and investors
Material type:
TextOriginal language: Spanish Publisher: Chicago ; Dow Jones-Irwin ; 1990Description: 470 pISBN: 1-55623-228-4Subject(s): Mercado de valores | Balances | Bróker dealers | Inversionistas | Publicidad | Registro de valores | Regulación | UnderwritingLOC classification: KF/1070/P47/1990
Contents:
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.
| Item type | Current location | Call number | Status | Date due | Barcode |
|---|---|---|---|---|---|
Libros
|
Biblioteca de la Superintendencia del Mercado de Valores - SMV | KF/1070/P47/1990 (Browse shelf) | Available | 00001095 |
Close shelf browser
| No cover image available |
|
|
|
|
|
|
||
| HG/4650/F47/1998 Como invertir en renta fija | HG/4529/F74/1997 La evaluación de los fondos de inversión en España | HG/4028.V3/A38/1997 Principios de valoración de empresas | KF/1070/P47/1990 Securities law compliance: a guide for brokers, dealers, and investors | KKT/962/K57/1999 La reforma de la ley del mercado de valores | HG/4530/M36/1999 Manual de fondos de inversión | HG/4530/M36/1999 Manual de fondos de inversión |
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.
There are no comments on this title.