LEGAL
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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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$3,855.00
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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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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 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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$3,463.00
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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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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 complete guide to legal theories, cases, and statutes affecting the lending process, with practical advice about lender liability claims.
Book (Full Set)
$2,280.00
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