The Resource Mutual funds sales practices : a practical guide to FINRA, SEC, & other regulatory requirements

Mutual funds sales practices : a practical guide to FINRA, SEC, & other regulatory requirements

Label
Mutual funds sales practices : a practical guide to FINRA, SEC, & other regulatory requirements
Title
Mutual funds sales practices
Title remainder
a practical guide to FINRA, SEC, & other regulatory requirements
Title variation
Mutual funds sales practices: a practical guide to FINRA, SEC, and other regulatory requirements
Contributor
Author
Subject
Genre
Language
eng
Summary
Provides a practical guide for broker-dealers and others who sell mutual funds that will help them handle the day-to-day regulatory requirements in this highly regulated industry. The book's easy-to-use approach explains the extensive and complex regulatory requirements applicable to those who sell mutual funds. It is organized around the key areas that practitioners deal with on a regular basis, including qualifications and registration of personnel, account agreements, advertising and other communications, sales practices, compensation issues, supervision, and a variety of requirements applicable to selling particular type of funds (e.g., variable insurance products, municipal fund securities, and closed-end funds)
Member of
Is part of
Cataloging source
NjRocCCS
Characteristic
updating web site
http://bibfra.me/vocab/lite/collectionName
WESTLAW (Information retrieval system)
Entry convention
integrated entry
Frequency
annual
LC call number
KF1439
LC item number
.M88
Nature of contents
  • dictionaries
  • bibliography
Original alphabet or script of title
basic roman
Regularity
regular
http://library.link/vocab/relatedWorkOrContributorName
  • Lemke, Thomas P.
  • Lins, Gerald T.
http://library.link/vocab/subjectName
  • Mutual funds
  • Stockbrokers
  • Financial planners
Label
Mutual funds sales practices : a practical guide to FINRA, SEC, & other regulatory requirements
Instantiates
Publication
Note
  • Database includes most recent edition only
  • Authors: Thomas P. Lemke, Gerald T. Lins
  • ©2011 Cassidy Cataloguing Services, Inc
Antecedent source
unknown
Bibliography note
Includes bibliographical references and index
Carrier category
online resource
Carrier MARC source
rdacarrier
Color
multicolored
Content category
text
Content type MARC source
rdacontent
Dimensions
unknown
File format
one file format
Form of item
online
http://bibfra.me/vocab/marc/formOfOriginalItem
braille
Level of compression
unknown
Media category
computer
Media MARC source
rdamedia
Publication frequency
Updated annually
Quality assurance targets
unknown
Reformatting quality
unknown
Specific material designation
remote
Label
Mutual funds sales practices : a practical guide to FINRA, SEC, & other regulatory requirements
Publication
Note
  • Database includes most recent edition only
  • Authors: Thomas P. Lemke, Gerald T. Lins
  • ©2011 Cassidy Cataloguing Services, Inc
Antecedent source
unknown
Bibliography note
Includes bibliographical references and index
Carrier category
online resource
Carrier MARC source
rdacarrier
Color
multicolored
Content category
text
Content type MARC source
rdacontent
Dimensions
unknown
File format
one file format
Form of item
online
http://bibfra.me/vocab/marc/formOfOriginalItem
braille
Level of compression
unknown
Media category
computer
Media MARC source
rdamedia
Publication frequency
Updated annually
Quality assurance targets
unknown
Reformatting quality
unknown
Specific material designation
remote

Library Locations

    • Biddle Law LibraryBorrow it
      3400 Chestnut Street, Philadelphia, Pennsylvania, 19104, US
      39.954941 -75.193362
Processing Feedback ...