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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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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This guide clarifies what insider trading is and its consequences.
Book (Full Set)
$3,126.00
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This reference analyzes all federal laws and regulations governing real estate sales, leasing and financing.
Book (Full Set)
$2,328.00
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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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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 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 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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Comprehensive survey and analysis of all aspects of suretyship, including commercial guaranty agreements, performance bonds, and standby letters of credit.
Book
$457.00
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