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Given the scrutiny of advisory firms by SEC and state securities regulators, as well as the changing business, marketing, and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. This fully revised and updated edition is designed to help you do exactly that.
The Investment Advisor's Compliance Guide, 3rd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis—no matter where you're registered. It can be used as basic training for new Investment Advisor Representatives (IARs), as well as seasoned professionals. Best of all, it's in plain English and will be helpful to both SEC and state-registered investment advisors (RIAs), as well as IARs. This title:
New in the 2023 Edition:
Topics Covered:
SKU | 1930003B |
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Publication Date | January 25, 2023 |
ISBN | 978-1-954096-92-9 |
Page Count | 368 |
Author | Les Abromovitz, JD |
Edition | 3 |