LEGAL
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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 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 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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This handbook provides in-depth coverage of basic and specialized issues, including types of offerings, registration, reporting, potential violations, and enforcement.
Book (Full Set)
$3,708.00
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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 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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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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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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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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New edition Practical guide to the small business cycles of sole proprietorships, partnerships, closely held corporations, and other types of small businesses.
Book (Full Set)
$6,114.00
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