Laws and Regulations & Legal Industry - Knowledge & Resource Center

GCat: Basic Business
MCat: Finance

Business finance related materials. Pension plans. ERISA. 401(k) reference materials. Accounting tutorials. Internal audits. Enforcement actions - NASD, OCC, SEC, SIPA. Financial modeling spreadsheets. Databases of company profiles and credit ratings. Cost estimating methods. Financial calculators. Derivatives. Economic data. ESOPs. Finance and tax news. Stock exchange resources. Bond market. FASB. GASB. PBGC. SEC. Funding, venture capital, financing.

Also refer to Categories: General Business (all) Human Resources - Benefits. Legal - Business Law, Insurance Law, Securities Law.Organizations - Actuary, Business, Insurance, Risk Mgt., Surety, Taxes. Publications - Insurance, Management, Risk Mgt. Risk Mgt (all) Security - Employee Theft, Financial Crime, Fraud. Statistics - Economic, Insurance, US Government. USA Government - Commerce, Justice, Treasury.


Full text of a property administration manual - policies regarding the acquisition, maintenance, reporting and disposition of capital assets. Accounting tutorials. American Institute of Certified Public Accountants' standard for detecting & reporting fraud. A 30-item questionnaire that can be used to analyze your current A/R module. Strategies to running an efficient and effective accounting department.


Essential of financial risk management. How to set up a DFA model for an organization. Guidance on understanding financials. Methodologies to conduct a cost benefit financial analysis of major projects. Portfolio model for evaluating credit risk that enables a company to consolidate credit risk. Literature on behavioral finance.


Examples: American Institute of Certified Public Accountants (AICPA), Financial Accounting Standards Board (FASB), Governmental Accounting Standards Board (GASB), Global Association of Risk Professionals (GARP)

Audit Guides

Full text of audit manuals, guides, tools, checklists used by the FDIC when conducting bank audits.

Bond Market

Includes a wide variety of resource materials related to municipal bonds as well as other aspects of the bond market.


Currency converters. US cost of living calculators. Inflation calculators. Step by step guide to investment planning using financial calculators. Large number of personal finance calculators and interactive quizzes. Online calculators and resources to help calculate costs of moving and financing a home. Personal auto insurance coverage analysis calculator. Long Term Disability Needs Calculator. Personal financial planning calculators focusing on life insurance and investment strategies. US Consumer Price Inflator/Deflator. US Current Value of Old Money. Currency converters.


Articles and papers related to collection agencies and collection laws. Developing a credit policy, basics of deduction, chargeback management and more information related to accounts receivables management.

Company Profiles

Conduct research on US companies by entering the company name or ticker symbol and receive company capsules, profiles, websites, financials, IPO's, research tools from resources such as Dun & Bradstreet Online Solutions, Hoover's, Wall Street Research Net and others. Fortune 500. Global 500. Corporate annual reports.

Cost Estimating

Excerpt from Means book on successful estimating methods. ICBO valuation data representing average costs for most buildings in the USA. Estimating the unit, average, & total effort (man-hours or cost) required to produce a given unit. Helpful hints in construction cost estimating. Per diem rates. Home improvement costs.


General economic data. Global Financial Data. Consumer Price Index. Financial Market Data. Monthly Treasury Bill Rates. Treasury Bond Futures Data. Term Structure Data. Free Financial and Economics Data Sources.


The use of derivatives and who is using them. Common misconceptions about the use of derivatives. The insurance industry's use of derivatives for managing risk. Non-derivatives risk management tactics and techniques.


Bank rate averages. FRED Database - Federal Reserve Bank of St. Louis. Economic data. Business cycle data. NAPM Report on Business. PMI composite index. Labor and employment rates in the USA.

Emissions Trading

Resources on greenhouse gas emissions allowance trading


Articles, case studies, research, discussion on equity compensation, ESOPs, etc.


Access to the websites of the major stock exchanges. Weekly Dow Jones Industrial Average. Real time stock market quotes for S&P 500, Nasdaq, NYSE, Dow, 30 Year Bond, plus latest market news


FASB topics: derivatives, exposure drafts, FASB Statements of Financial Accounting Standards and more.


Financing sources and financing 'how to' programs. Locate capital in the form of debt, equity, or other types of financial transactions. Venture capital resources and guides.


GASB topics: Summaries and status of GASB statements, concepts statements and interpretations, exposure drafts, etc.

Internal Audit

Self-assessment questionnaire. Full text of an internal audit guide used by a major university. Information on risk assessment and internal control design. Issues and answers to risk control. Outsourcing, chief auditing executive checklist, whistleblowing, etc.


Advice, guidance, news, tools, reports and other resources for individual investors.


Download IRS tax forms and instructions, guidance documents, etc. Access federal tax information for businesses.


Links to the home pages of major finance publications in the USA, such as: Barron's, CFO Publishing, CNNfn, Worth.


Pension Benefit Guaranty Corporation (PBGC) resources: publications, forms, regulations, etc.


Retirement plan basics. Q&A on pension, profit-sharing, ESOP and other kinds of tax-qualified retirement plans. Online access to the full text of IRS Publication 560, Retirement Plans for the Self-Employed and IRS Publication 590, Individual Retirement Arrangements (IRAs). Handbook on private sector plans where a trustee invests the plan's assets.

Rating Agencies

Company Credit Ratings: Duff & Phelps, Standard and Poor's, Moody's - US and International


SEC Filing Retrieval Toolkit. Real time access to EDGAR database for SEC filings. Reference tools to understand SEC financials.

State Taxation

State revenue departments - personal and business income taxes, sales taxes, payroll taxes, motor fuel taxes, liquor taxes, etc.


Federal tax guides and tips. State tax forms. Information on state excise and sales taxes. Miscellaneous taxes.

Unclaimed Property

State and federal agencies responsible for the safekeeping and return of monies designated as 'unclaimed' administer laws that requires businesses (profit and non-profit) and government agencies to file an annual unclaimed property report with the State of the property owner. Unclaimed property includes outstanding or uncashed checks such as payroll checks, vendor checks, customer overpayments/refunds or unredeemed gift certificates. To find out if you have unclaimed property on file, use the searchable databases provided by the state and federal agencies responsible for such matters.

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