LEGAL
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This reference provides authoritative coverage of the practical and legal aspects of due diligence as it relates to preparing initial securities offerings.
Book
$3,605.00
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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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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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A guide to broker-dealer back-office operational issues and supervisory responsibilities.
Book (Full Set)
$3,690.00
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This work contains permanent rules of the Texas Administrative Code prepared from data provided by the secretary of state. Book $1,386.00 |
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Gain a better understanding of the financial planner’s role and parameters of practice, including SEC requirements, regulation, and liability.
Book (Full Set)
$2,394.00
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Informed discussion of mortgage and consumer loan disclosure and its federal laws and regulations, including procedures, solutions, and forms.
Book (Full Set)
$6,948.00
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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$4,433.00
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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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