TY  - BOOK
AU  - H. Pessin, Alan
TI  - Securities law compliance: a guide for brokers, dealers, and investors
SN  - 1-55623-228-4
AV  - KF/1070/P47/1990 
CY  - Chicago
KW  - Mercado de valores
KW  - Balances
KW  - Bróker dealers
KW  - Inversionistas
KW  - Publicidad
KW  - Registro de valores
KW  - Regulación
KW  - Underwriting
N1  - 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
ER  -