LEGAL
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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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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 text covers federal and state laws, focusing on potential liabilities that each professional may encounter with a securities transaction.
Book
$4,429.00
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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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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 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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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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New edition In-depth coverage and analysis of mortgage liens in New York, supported by controlling cases and pertinent statutes.
Book
$1,188.00
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Comprehensive coverage and analysis of securities, banking, and employee benefits laws; state and federal regulations; compliance requirements; plus numerous appendixes.
Book (Full Set)
$724.00
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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.
Book (Full Set)
$944.00
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