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Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor's Compliance Guide, 2nd 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.
The completely enhanced and updated Investment Advisor's Compliance Guide, 2nd Edition, provides highly practical guidance covering all of today's compliance issues, including:
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