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

Author: Thomas R. Keyes, David S. Miller
List Price: $19.95
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ISBN: 0137703147
Publisher: New York Institute of Finance (22 March, 1991)
Sales Rank: 715,652
Average Customer Rating: 4 out of 5

Customer Reviews

Rating: 4 out of 5
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.

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