The Investment Advisor's Compliance Guide, 2nd Edition (2017)
https://www.nationalunderwriter.com/the-investment-advisor-s-compliance-guide-2nd-edition.html

 Les Abromovitz, www.LesAbromovitz.com

 NCS Regulatory Compliance, http://www.ncsregcomp.com/

Growing Within the Lines: The Investment Adviser's Advertising and Marketing Compliance Guide







 
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