LEGAL
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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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Keep current with SEC no-action and interpretive letters. This title provides insights and analysis to help you determine emerging trends.
Book
$3,475.00
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This product provides information on term sheets and valuations, covering topics such as defining and examining a term sheet, valuations, and East Coast and West Coast rules. Book $39.99 |
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This work provides comprehensive coverage of broker-dealer regulation, including registration requirements, FINRA/SEC regulatory requirements, Reg BI, fiduciary responsibilities, FINRA/SEC examinations/investigations, and selected securities arbit
Book (Full Set)
$3,882.00
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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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A convenient source of laws, regulations, and professional association rules governing the creation and operation of a securities transfer agent's office. eBook - ProView $944.00 |
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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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New edition This title contains the entire Texas Business & Commerce Code, which includes the Texas version of the UCC, the Deceptive Trade Practices Act, and many other statutes governing business transactions, all with up-to-date annotations and more.
Book
$243.00
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New edition Complete and easy access to state laws and regulations dealing with residential mortgage lending. eBook - ProView $4,433.00 |
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Get in-depth coverage that addresses specific types of fraud and manipulation. Includes guidance for avoiding potential commodity problems.
Book (Full Set)
$6,194.00
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