000			01399nam a2200349Ia 4500
000			nam a22 7a 4500
003			SMV
005			20210318010051.0
008			210318b ||||| |||| 00| 0 spa d
020			_a1-55623-228-4
040			_cSMV
041			_hspa
050			_aKF/1070/P47/1990
100			_aH. Pessin, Alan
245		0	_aSecurities law compliance: a guide for brokers, dealers, and investors
260			_aChicago
260			_bDow Jones-Irwin
260			_c1990
300			_a470 p.
505			_aContiene: 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.
650			_aMercado de valores
653			_aBalances
653			_aBróker dealers
653			_aInversionistas
653			_aPublicidad
653			_aRegistro de valores
653			_aRegulación
653			_aUnderwriting
942			_2lcc
942			_cLibros
942			_hKF/1070/P47/1990
999			_c1212 _d1212