
Investment Advisor's Compliance Guide, 3rd Edition
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...
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...