The Resource SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers

SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers

Label
SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
Title
SEC/NASD compliance
Title remainder
designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
Title variation
  • Designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
  • ALI-ABA course of study materials
Contributor
Subject
Language
eng
Cataloging source
NNPaul
Characteristic
periodical
Entry convention
latest entry
Frequency
annual
LC call number
KF1078.Z9
LC item number
S43
Original alphabet or script of title
basic roman
Regularity
unknown
http://library.link/vocab/relatedWorkOrContributorName
American Law Institute-American Bar Association Committee on Continuing Professional Education
http://library.link/vocab/subjectName
  • Securities
  • Mutual funds
  • Stockbrokers
  • Investment advisors
Label
SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
Instantiates
Publication
Copyright
Note
Latest issue consulted: June 2006
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Dimensions
28 cm
Extent
volumes
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
Other physical details
illustrations
Publication designation
June 2005-
Publication frequency
Annual
System control number
06-S60
Label
SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
Publication
Copyright
Note
Latest issue consulted: June 2006
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Dimensions
28 cm
Extent
volumes
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
Other physical details
illustrations
Publication designation
June 2005-
Publication frequency
Annual
System control number
06-S60

Library Locations

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