Securities law compliance : a guide for brokers, dealers and investors / Allan H. Pessin.
By: Pessin, Allan H
.
Material type: 
BookPublisher: Homewood, Ill. : Dow Jones-Irwin, 1989Description: ix, 470 p. : ill. ; 24 cm.ISBN: 1556232284.Subject(s): Securities -- United States | Stock exchanges -- Law and legislation -- United StatesDDC classification: 346.73 | Item type | Current library | Call number | Copy number | Status | Date due | Barcode | Item holds |
|---|---|---|---|---|---|---|---|
| General Lending | MTU Bishopstown Library Lending | 346.73 (Browse shelf(Opens below)) | 1 | Available | 00028115 |
Enhanced descriptions from Syndetics:
Covers investors' rights and obligations and the functions and responsibilities of the exchanges, government agencies, and self regulating organizations. Prescribes specific procedures to help those involved interpret and abide by laws governing recordkeeping, reporting, supervision, and marketing. Material presented prepares the reader for the New York Stock Exchange Series 14 examination. Includes a glossary, but no bibliography. Annotation(c) 2003 Book News, Inc., Portland, OR (booknews.com)
Includes index.
Introduction: The compliance responsibility -- Laws and regulations -- Registration -- Recordkeeping -- Financial and operations support -- Advertising, research and sales literature -- Underwriting and private placements -- Diversity of products -- Entry and execution of orders -- Supervision and maintenance of customer and employee accounts -- Credit regulations -- Options -- Mutual funds -- Reports to regulators and to management -- Opinions and observations on the future of the securities industry.