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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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book
$3,855.00
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This work contains permanent rules of the Texas Administrative Code prepared from data provided by the secretary of state. Book $1,386.00 |
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New edition This text covers federal and state laws, focusing on potential liabilities that each professional may encounter with a securities transaction.
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$4,429.00
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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 primer introducing the world of letters of credit includes concise legal summaries and sample letters of credit. Book $975.00 |
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New edition 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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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 This guide clarifies what insider trading is and its consequences.
Book (Full Set)
$3,126.00
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This title discusses the capital markets activities of U.S. and foreign banks and bank holding companies in the U.S. Book $1,256.00 |
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D & O Liability Handbook: Law—Sample Documents—Forms, 2022-2023 ed. (Securities Law Handbook Series)Use the legal commentary, statutory provisions, and sample documents and forms found in this handbook to limit director and officer liability.
Book
$3,066.00
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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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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 |
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This softbound volume contains the text of the Texas Finance Code, as amended through the most recent legislative session.
Book
$133.00
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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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New edition Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$4,433.00
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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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