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The Investment Advisor's Compliance Guide, 3rd Edition

By Les Abromovitz
eBook
$158.00
By Les Abromovitz
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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:

  • Covers the SEC's new marke...

Categories

LawBusiness, Commercial & Financial LawAntitrust Law