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Contains detailed analysis, practical guidance, and primary source materials relating to legal, regulatory, and compliance issues for asset management.
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$1,633.00
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Covers U.S. companies conducting securities transactions abroad, foreign companies accessing U.S. capital markets, and U.S. regulations for international broker-dealers.
Book (Full Set)
$1,212.00
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This title helps legal, compliance, and business money management professionals familiarize themselves with essential materials that ensure compliance.
Book
$1,150.00
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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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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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Provides planning tools to advise smaller and emerging companies on compliance with laws regulating securities offerings.
Book
$1,845.00
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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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This eight-volume title encompasses the complete range of securities topics, including legal systems, securities regulatory schemes, public securities markets. |
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A comprehensive guide to the "poison pill" device. Covers mechanics, procedures, and key drafting language.
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$3,606.00
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This guide addresses the issues faced by money managers, mutual funds, ERISA pension plans, broker-dealers, banks, and other financial institutions.
Book
$1,218.00
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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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First resource for attorneys educating themselves about unfamiliar issues. Provides introductory access to nine substantive areas of business law.
Book (Full Set)
$3,632.00
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Provides practice-oriented information about going public, discussing financing, disclosure systems, and which companies must register under the Securities Act.
Book (Full Set)
$3,404.00
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The title contains an in-depth discussion all IRS materials concerning the eligibility, operations, and workings of S Corporations.
Book
$3,191.00
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Comprehensive treatise on the wide range of complex issues raised by a shareholder derivative lawsuit.
Book
$2,294.00
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This text covers judicial, legislative, and administrative developments relevant to public, private, and extraterritorial resales, especially Rule 144.
Book
$4,164.00
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This treatise provides both legal theory and practical guidance on shareholder litigation.
Book (Full Set)
$5,898.00
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This handbook provides a concise summary of the steps involved in forming and operating a mutual fund.
Book
$1,069.00
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Suggestions and guidelines for creating a reliable compliance system that prevents possible securities violations.
Book
$1,734.00
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New second edition provides a comprehensive, concise, and authoritative analysis of the law of director and officer indemnification and insurance.
Book
$2,838.00
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Addresses legal and practical aspects that support executives in formulating and carrying out corporate policy.
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$2,838.00
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First resource for attorneys educating themselves about unfamiliar issues. Provides introductory access to nine substantive areas of business law.
Book (Full Set)
$1,548.00
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New edition This set helps with the purchase or sale of divisions and subsidiaries, including negotiation strategies and key legal points. Book (Full Set) $1,564.00 |
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New edition This title is a guide for U.S. businesses looking to proceed knowledgeably in the post-Enron, post-WorldCom era.
Book
$1,795.00
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New edition Discusses application of Rule 10b-5, offers litigation insights, and analyzes relevant statutes and case law to help prevent securities fraud.
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$17,134.00
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