The Investment Advisor's Compliance Guide (Advisor's Guide),Used

The Investment Advisor's Compliance Guide (Advisor's Guide),Used

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SKU: SONG193636283X
Brand: National Underwriter Company
Regular price$148.16
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As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.Simplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new Investment Advisor s Compliance Guide.The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:Rules affecting the use of social mediaSwitching from SEC registration to state registrationThe Form ADV Disclosure BrochureSpecific changes mandated by DoddFrankSEC whistleblower activitiesAnd much more

⚠️ WARNING (California Proposition 65):

This product may contain chemicals known to the State of California to cause cancer, birth defects, or other reproductive harm.

For more information, please visit www.P65Warnings.ca.gov.

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