Rules of the Road for Registered Representatives: A Guide to Securities Compliance

by Thomas R. Keyes and David S. Miller

Taking a hands-on approach, this book offers advice and guidance on the topical subject of securities compliance as it affects professionals within the securities industry. The authors look at the... This description may be from another edition of this product.

• Format: Paperback
• Language: English
• ISBN: 0137703147
• ISBN13: 9780137703142
• Release Date: March 1991
• Publisher: Prentice Hall
• Length: 391 Pages
• Weight: 1.60 lbs.
• Dimensions: 1.2" x 6.0" x 9.0"

Customer Reviews

Real World Compliance

Instead of providing a dry recitation of rules and regs, this book takes an anecdotal approach to securities compliance rules. Its story-telling approach is useful in helping both securities producers and compliance professionals understand real world concerns.Although not an in depth study of the securities industry, this book is highly recommended as a primer for compliance issues. It is also one of the easiest books on the topic to read. Overall, time well spent.