Question: Securities Regulatory Framework Please define and explain the following Capital Market Institutions. Broker in Securities Dealer in Securities Philippine Dealing Exchange Philippine Stock Exchange Investment

Securities Regulatory Framework

Please define and explain the following Capital Market Institutions.

Broker in Securities

Dealer in Securities

Philippine Dealing Exchange

Philippine Stock Exchange

Investment Houses

Clearing House Settlement

Government Securities Eligible Dealers

Mutual Fund Distributors

Please define and explain the following Capital Market Professionals.

Associated Persons

Compliance Officer

Salesmen/Fixed Income Market Salesman

Certified Investment Solicitors

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