LEGAL
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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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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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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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This reference analyzes all federal laws and regulations governing real estate sales, leasing and financing.
Book (Full Set)
$2,025.00
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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
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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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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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New edition This guide clarifies what insider trading is and its consequences.
Book (Full Set)
$3,126.00
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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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In-depth coverage and analysis of mortgage liens in New York, supported by controlling cases and pertinent statutes.
Book
$1,033.00
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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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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 |
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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
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New edition 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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book
$3,855.00
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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
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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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Complete and easy access to state laws and regulations dealing with residential mortgage lending.
Book (Full Set)
$5,932.00
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