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Title: Rules of the Road for Registered Representatives: A Guide to Securities Compliance by Thomas R. Keyes, David S. Miller ISBN: 0-13-770314-7 Publisher: Prentice Hall Pub. Date: 01 April, 1991 Format: Textbook Binding Volumes: 1 List Price(USD): $19.95

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Average Customer Rating: 4 (1 review)

Rating: 4
Summary: Real World Compliance
Comment: 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.