LEGAL
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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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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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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 Review of banking crimes, including fraud, money laundering, and embezzlement. Offers guidance on bank and financial institution law enforcement.
Book (Full Set)
$1,812.00
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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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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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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 Addresses bankruptcy laws, related legal issues, and potential consequences of specific actions regarding loans secured by personal property collateral.
Book (Full Set)
$1,576.00
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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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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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