LEGAL
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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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This primer introducing the world of letters of credit includes concise legal summaries and sample letters of credit. Book $975.00 |
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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 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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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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$4,433.00
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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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Hundreds of forms and specialized checklists are cross-referenced to companion text, Advising Small Businesses. Book (Full Set) $3,006.00 |
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