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Legal Solutions by Thomson Reuters offers a wide-ranging selection of federal law resources including hardbound and softbound law books, ProView eBooks, legal encyclopedias and legal software solutions.
This treatise provides thorough analysis of all antifraud provisions, particularly Rule 10b-5. Book (Full Set) $9,231.00 |
New edition 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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Examines interpretations of statutes, rulings, and administrative opinions of the Blue Sky Law, and offers potential solutions to interpretive problems. Book (Full Set) $8,647.00 |
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 |
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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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 |
Obtain general guidance on securities regulation issues as well as practical advice on registration, reporting, and liability with this title.
Book (Full Set)
$588.00
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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
|
This reference provides authoritative coverage of the practical and legal aspects of due diligence as it relates to preparing initial securities offerings.
Book
$3,605.00
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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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