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D & O Liability Handbook: Law—Sample Documents—Forms, 2022-2023 ed. (Securities Law Handbook Series)Use the legal commentary, statutory provisions, and sample documents and forms found in this handbook to limit director and officer liability.
Book
$3,066.00
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The Volcker Rule: Commentary and Analysis provides comprehensive coverage of the requirements of the Volcker Regulations and the issues and opportunities that they present for banking entities and non-banking entities. Book $213.00 |
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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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A guide to broker-dealer back-office operational issues and supervisory responsibilities.
Book (Full Set)
$3,690.00
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This title includes coverage of all the important legal, legislative, and economic issues relating to the contemporary secondary mortgage market.
Book
$3,578.00
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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 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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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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This title is a comprehensive resource on international banking law and regulation.
Book (Full Set)
$2,056.00
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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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