{"product_id":"9781938130014","title":"The Investment Advisor's Compliance Guide","description":"\u003cp\u003eAs the SEC and state securities regulators ramp up their regulatory supervision, investment advisers need to know what to do stay in compliance.\u003c\/p\u003e\u003cp\u003e\u003cbr\u003e\u003cbr\u003e\u003c\/p\u003e\u003cp\u003eSimplify complex compliance activities, save yourself worry, and avoid severe sanctions with the all new \u003cb\u003e\u003ci\u003eInvestment Advisor s Compliance Guide.\u003c\/i\u003e\u003c\/b\u003e\u003c\/p\u003e\u003cp\u003e\u003cbr\u003e\u003cbr\u003e\u003c\/p\u003e\u003cp\u003eThe Investment Advisor s Compliance Guide provides guidance on all of today s compliance issues, including:\u003c\/p\u003e\u003cp\u003e\u003cbr\u003e\u003c\/p\u003e\u003cul\u003e\n\u003cli\u003eRules affecting the use of social media\u003c\/li\u003e \u003cli\u003eSwitching from SEC registration to state registration\u003c\/li\u003e \u003cli\u003eThe Form ADV Disclosure Brochure\u003c\/li\u003e \u003cli\u003eSpecific changes mandated by Dodd-Frank\u003c\/li\u003e \u003cli\u003eSEC whistleblower activities\u003c\/li\u003e \u003cli\u003eAnd much more\u003c\/li\u003e\n\u003cbr\u003e \u003c\/ul\u003e \u003cbr\u003e \u003cbr\u003e","brand":"National Underwriter Company","offers":[{"title":"Default Title","offer_id":47165448814832,"sku":"9781938130014","price":96.0,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0737\/7593\/9824\/files\/9781938130014_p0.jpg?v=1763662473","url":"https:\/\/shop-qa.barnesandnoble.com\/products\/9781938130014","provider":"Barnes \u0026 Noble (DEV)","version":"1.0","type":"link"}