LEGAL
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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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This reference provides authoritative coverage of the practical and legal aspects of due diligence as it relates to preparing initial securities offerings.
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$3,605.00
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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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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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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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D & O Liability Handbook: Law—Sample Documents—Forms, 2024-2025 ed. (Securities Law Handbook Series)New edition Use the legal commentary, statutory provisions, and sample documents and forms found in this handbook to limit director and officer liability.
Book
$3,526.00
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This guide clarifies what insider trading is and its consequences.
Book (Full Set)
$3,126.00
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New edition This primer introducing the world of letters of credit includes concise legal summaries and sample letters of credit. Book $1,121.00 |
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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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New edition Keep current with SEC no-action and interpretive letters. This title provides insights and analysis to help you determine emerging trends.
Book
$3,996.00
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