Securities Law
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Business Brokers and Securities Laws
- Private Placement Handbook Series, Book 8
- By: Douglas Slain
- Narrated by: Eric Joseph Chancy
- Length: 41 mins
- Unabridged
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Business Brokers and Securities Laws is a monograph on securities law and finders fees.
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Business Brokers and Securities Laws
- Private Placement Handbook Series, Book 8
- Narrated by: Eric Joseph Chancy
- Series: Private Placement Handbook Series
- Length: 41 mins
- Release date: 18-01-16
- Language: English
- Business Brokers and Securities Laws is a monograph on securities law and finders fees....
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Regular price: £3.99 or 1 Credit
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Series 63 Study Guide
- Complete Review for the Uniform Securities Agent State Law Exam, Including Practice Questions, Test Strategies, and Proven Tips for Passing with Confidence
- By: Johnny P. Bradley
- Narrated by: Tom Brooks
- Length: 11 hrs and 16 mins
- Unabridged
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This comprehensive guide equips you with the knowledge needed to pass the Series 63 exam, covering state securities laws, registration requirements, and ethical standards. Mastering these principles is essential for financial professionals to ensure market transparency and compliance.
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Series 63 Study Guide
- Complete Review for the Uniform Securities Agent State Law Exam, Including Practice Questions, Test Strategies, and Proven Tips for Passing with Confidence
- Narrated by: Tom Brooks
- Length: 11 hrs and 16 mins
- Release date: 13-03-25
- Language: English
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This comprehensive guide equips you with the knowledge needed to pass the Series 63 exam, covering state securities laws, registration requirements, and ethical standards. Mastering these principles is essential for financial professionals to ensure market transparency and compliance.
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Regular price: £18.99 or 1 Credit
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EB-5 and US Securities Law
- By: Douglas Slain
- Narrated by: Sarah Kate
- Length: 1 hr and 21 mins
- Unabridged
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The JOBS Act has changed the practice of law relating to EB-5 offerings. Regional centers and other EB-5 issuers will have more latitude with respect to general solicitations and general advertisements. However, the effort and cost to comply with securities law will increase significantly due to the "reasonable steps" requirement. Proof of "reasonable steps" taken to verify accredited investor status will now be a condition to the availability of the exemption under Rule 506 (c).
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EB-5 and US Securities Law
- Narrated by: Sarah Kate
- Length: 1 hr and 21 mins
- Release date: 28-02-17
- Language: English
- The JOBS Act has changed the practice of law relating to EB-5 offerings....
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Business Brokers and Securities Laws
- How to Avoid Becoming an Unlicensed Broker-Dealer
- By: Douglas Slain
- Narrated by: Stuart Deal
- Length: 39 mins
- Unabridged
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Business Brokers and Securities Laws is a monograph on securities law and finders fees.
-
Business Brokers and Securities Laws
- How to Avoid Becoming an Unlicensed Broker-Dealer
- Narrated by: Stuart Deal
- Length: 39 mins
- Release date: 07-01-16
- Language: English
- Business Brokers and Securities Laws is a monograph on securities law and finders fees.
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