Rules of the Road for Registered Representatives: A Guide to Securities Compliance
by Thomas R. Keyes, David Stuart Miller
Category: Law

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 issues that face the registered representative regarding regulatory compliance, such as insider trading, money laundering and churning. Self-tests are included in the appendices of the book.