Integrating members of the Distribution System

Securities Brokerage and Dealer Firms

Resolution 020 dated 02.15.1985
Prohibits the participation of companies integrating of the distribution system in private exchanges, only being able to execute them in the Exchange Markets or
Over-the-counter markets in which such securities are granted for exchanging.

Resolution 372 dated 01.23.2001
Irregular hiring of agency firms in the securities market.
 

Commodities- Brokerage Firms

Rule 402 dated 01.27.2004
Establishes the rules and procedures for the organization and operation of the commodities- brokerage firms.
 

Non-authorized intermediaries

Rule 348 dated 01.23.2001
Provides for the hypothesis of serious infractions, under the precept terms in article 11, paragraph 3, Law No. 6.385/76, considering the contracting as such, by integrating member of the securities distribution system or manager of disciplined funds and inspected by CVM of non-authorized people and/or registered in this autarchy under the precept terms in article 16 of Law No. 6.385, for the intermediation of business deals involving securities, including the scheduling and/or attraction of clients.
 

Irregular operations in the securities market

Rule 333 dated 04.06.2000
Provides for the irregular operations in the securities market.