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A guide to broker-dealer back-office operational issues and supervisory responsibilities.
Book (Full Set)
$3,690.00
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New edition Review of banking crimes, including fraud, money laundering, and embezzlement. Offers guidance on bank and financial institution law enforcement.
Book (Full Set)
$1,812.00
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Gain insight into the implications of the five subdivisions of Section 16. Focuses on trading, insiders’ reporting, short sales, and exemptions.
Book
$2,847.00
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This comprehensive collection of commentary and pertinent primary source material is your guide to the regulation of banking and financial services industries and securities laws in major jurisdictions. Book (Full Set) $8,987.00 |
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This book provides a comprehensive summary of the new swap regulatory regime under Title VII of the Dodd-Frank Act to assist industry professionals and their counsel in understanding the substance of these new requirements.
Book
$386.00
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This guide clarifies what insider trading is and its consequences.
Book (Full Set)
$3,126.00
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A convenient source of laws, regulations, and professional association rules governing the creation and operation of a securities transfer agent's office.
Book (Full Set)
$944.00
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This softbound volume contains the text of the Texas Finance Code, as amended through the most recent legislative session.
Book
$133.00
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Comprehensive coverage and analysis of securities, banking, and employee benefits laws; state and federal regulations; compliance requirements; plus numerous appendixes.
Book (Full Set)
$724.00
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