The RIA's Compliance Solution Book

Registered investment advisers are accustomed to regulatory
scrutiny. But the pressure to understand changing compliance
regulations and to meet the requirements they impose has never been
more intense. A range of scandals and abuses--from the
laundering of terrorist funds to mutual fund trading
shenanigans--has caused the Securities and Exchange Commission
to tighten regulation and step up enforcement. Unfortunately,
definitive compliance information--the kind that can save
advisers precious time and spare them serious trouble--has not been
easy to find. Until now.

The RIA's Compliance Solution Book gathers the
information needed most and puts it all in one place. Here advisers
will find plain-English translations of the rules that regulate
such issues as:

* advisory contracts and fees

* advertising and client communications

* RIA compliance programs and codes of ethics

* custody of customer accounts

* completing, filing, and amending Form ADV

* selecting brokers and executing trades