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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 title is a comprehensive resource on international banking law and regulation.
Book (Full Set)
$2,056.00
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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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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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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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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 guide clarifies what insider trading is and its consequences.
Book (Full Set)
$3,126.00
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New edition 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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New edition 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 book provides a comprehensive summary of the new swap regulatory regime under Title VII of the Dodd-Frank Act to assist industry professionals and their counsel in understanding the substance of these new requirements.
Book
$386.00
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