BROKER-DEALER REGULATION (2nd Edition)
by Clifford E Kirsch

Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. Read more →

FINANCIAL PRODUCT FUNDAMENTALS: LAW, BUSINESS, COMPLIANCE (2nd Edition)
by Clifford E Kirsch

Financial Product Fundamentals is a clear, comprehensive, and easy-to-use reference that gives you a thorough understanding of the regulations, benefits, advantages, pricing, distribution, marketing, and current and future viability of registered offerings. It includes expert analysis of private placements, mutual funds, hedge funds, money market funds, exchange traded funds, real estate investment trusts, international investment funds, variable insurance products, and other instruments. Read more →

INVESTMENT ADVISER REGULATION: A STEP-BY-STEP GUIDE TO COMPLIANCE AND THE LAW
by Clifford E Kirsch

At a time of many regulatory changes being made as a result of the economic downturn, the new third edition of Investment Adviser Regulation guides you safely through the maze of Congressional, SEC, and state standards impacting investment advisers as well as helping you understand the practical aspects of building a practice. It clarifies key status issues that determine registration and disclosure duties as well as liability exposure. Read more →

 

OTHER BOOKS