Investment Adviser's Legal and Compliance Guide

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules curren

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 d

Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today mu