LEGAL
Can We Help?
|
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
|
|
|
A guide to broker-dealer back-office operational issues and supervisory responsibilities.
Book (Full Set)
$3,690.00
|
|
|
Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$3,855.00
|
|
|
This handbook provides in-depth coverage of basic and specialized issues, including types of offerings, registration, reporting, potential violations, and enforcement.
Book (Full Set)
$3,224.00
|
|
|
This softbound volume contains the text of the Texas Finance Code, as amended through the most recent legislative session.
Book
$133.00
|
|
|
This comprehensive collection of commentary and pertinent primary source material is your guide to the regulation of banking and financial services industries and securities laws in major jurisdictions. Book (Full Set) $8,987.00 |
|
|
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
|
|
|
This title includes coverage of all the important legal, legislative, and economic issues relating to the contemporary secondary mortgage market.
Book
$3,578.00
|
|
|
New edition Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$3,463.00
|
|
|
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
|
|
|
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
|
|
|
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 |
|
|
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
|
|
|
New edition 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
|
|
|
Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$4,433.00
|
|
|
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
|
|
|
Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book
$3,855.00
|
|
|
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
$221.00
|
|
|
Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$5,932.00
|
|
|
|
-->
