LEGAL
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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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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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A guide to broker-dealer back-office operational issues and supervisory responsibilities.
Book (Full Set)
$3,690.00
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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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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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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 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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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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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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$4,433.00
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