The RIA's Compliance Solution Book

Helps advisers keep a practice in compliance with mushrooming Federal rules and regulations. A convenient desk reference for anyone wishing needing to meet the regulatory criteria for investment advisers in the U.S. market.

Over the past decade, the US securities and Exchange Commission has increased the breadth and scope of compliance regulations for investment advisers. This handy desk reference is designed to help advisers keep a practice in compliance with these mushrooming federal rules and regulations.

It is a convenient guide for anyone needing to meet or understand the regulatory criteria for investment advisers in the US market.