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

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

<p>As the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.</p><br><br><p>Simplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new <b><i>Investment Advisor s Compliance Guide.</b></i></p><br><br><p>The Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:</p><br><ul><br><li>Rules affecting the use of social media</li><br> <li>Switching from SEC registration to state registration</li><br> <li>The Form ADV Disclosure Brochure</li><br> <li>Specific changes mandated by Dodd-Frank</li><br> <li>SEC whistleblower activities</li><br> <li>And much more</li><br> </ul>