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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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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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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 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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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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Gain insight into financing techniques, and learn how to negotiate and draft deals for small to mid-sized companies or venture capitalists.
Book (Full Set)
$8,680.00
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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 Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$4,433.00
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New edition Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book
$4,433.00
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Advise your clients more effectively on laws relating to public companies using this convenient compilation of laws, forms, and analysis.
Book
$10,863.00
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