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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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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 guide to broker-dealer back-office operational issues and supervisory responsibilities.
Book (Full Set)
$3,690.00
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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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New edition This title contains the entire Texas Business & Commerce Code, which includes the Texas version of the UCC, the Deceptive Trade Practices Act, and many other statutes governing business transactions, all with up-to-date annotations and more.
Book
$243.00
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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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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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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 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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Keep current with SEC no-action and interpretive letters. This title provides insights and analysis to help you determine emerging trends.
Book
$3,475.00
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