The RIA's Compliance Solution Book: Answers for the Critical Questions
Average customer rating: 5 out of 5 stars
  • Pretty good, but not perfect
  • A great tool for RIA firms
  • The Most Comprehensive Book Of Its Kind
  • A n important tool
The RIA's Compliance Solution Book: Answers for the Critical Questions
Elayne Robertson Demby
Manufacturer: Bloomberg Press
ProductGroup: Book
Binding: Hardcover

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ASIN: 1576601927

Book Description

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 has caused the Securities and Exchange Commission to tighen 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. This 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. EARN 20 HOURS OF CREDIT TOWARD YOUR CFP BOARD CE REQUIREMENT AS WELL AS PACE RECERTIFICATION CREDIT

Customer Reviews:

4 out of 5 stars Pretty good, but not perfect.......2007-01-10

Very helpful discussion of basics and some advanced issues regarding compliance for RIA's.

5 out of 5 stars A great tool for RIA firms .......2006-11-10

I can't imagine any RIA firm, particularly those with CFP designees on staff that wouldn't be interested in this book. It is both well written and well organized. I intend to keep this book as a permanent resource. Opportunity to earn 20 hours CFP CE credit gives it great value as well.

5 out of 5 stars The Most Comprehensive Book Of Its Kind.......2006-06-29

I was quite "blown away" by the amount of accurate information in this book. In all of my years in this industry I have never seen it contained in one place so comprehensively. It is also quite easy to read and to find what you're looking for. I recommend this book as a guidepost to everyone in the investment advisory business.

5 out of 5 stars A n important tool.......2006-06-19

Any area involving government regulations is destined to be very complex and very confusing. This is particularly true with securities and the SEC and state regulatory requirements. Ms. Demby's book provides a guide through the regulatory maze.
I am just beginning my journey into the financial planning profession, and this book will always be within easy reach.


James Dupree, CPA
Copyright In Cyberspace 2: Questions And Answers  For Librarians
Average customer rating: Not rated
    Copyright In Cyberspace 2: Questions And Answers For Librarians
    Gretchen McCord Hoffmann
    Manufacturer: Neal-Schuman Publishers
    ProductGroup: Book
    Binding: Paperback

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    ASIN: 1555705170

    Product Description

    You've been floating through cyberspace wondering if you are using and dispensing information legally. Worry, no more! Now, you have the answers at your fingertips. Written in an easy-to-understand question-and-answer format, this handbook provides the guidelines you need without confusing technical jargon and legalese. Topics covered include: hyperlinks and framing, browsing and caching, digital images, interlibrary loan and resource sharing, e-reserves and class-based Web pages, library instruction, and distance education. New and expanded chapters feature information on the Digital Millennium Copyright Act, file-sharing, licensing, writing a copyright policy, and more.
    What Are My Rights?: 95 Questions and Answers About Teens and the Law
    Average customer rating: 4.5 out of 5 stars
    • Offers nothing more or less than plain honest truth, without preaching or moralizing, in simple question-and-answer format.
    • The Best Teens Guid In the World
    What Are My Rights?: 95 Questions and Answers About Teens and the Law
    Thomas A. Jacobs , and Jay E. Johnson
    Manufacturer: Free Spirit Publishing
    ProductGroup: Book
    Binding: Paperback

    TeensTeens | Subjects | Books | Authors, A-Z | Biographies & Memoirs | Health, Mind & Body | History & Historical Fiction | Horror | Literature & Fiction | Manga | Mysteries | Reference | Religion & Spirituality | School & Sports | Science & Technology | Science Fiction & Fantasy | Series | Social Issues
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    1. They Broke the Law-You Be the Judge: True Cases of Teen Crime They Broke the Law-You Be the Judge: True Cases of Teen Crime
    2. Teens Take It to Court: Young People Who Challenged the Law-and Changed Your Life Teens Take It to Court: Young People Who Challenged the Law-and Changed Your Life
    3. Teen Rights (and Responsibilities), 2E (Teen Rights) Teen Rights (and Responsibilities), 2E (Teen Rights)
    4. The Struggle to Be Strong: True Stories by Teens About Overcoming Tough Times The Struggle to Be Strong: True Stories by Teens About Overcoming Tough Times
    5. Teens on Trial: Young People Who Challenged the Law-And Changed Your Life Teens on Trial: Young People Who Challenged the Law-And Changed Your Life

    ASIN: 1575420287

    Customer Reviews:

    5 out of 5 stars Offers nothing more or less than plain honest truth, without preaching or moralizing, in simple question-and-answer format. .......2006-12-10

    Now in an updated edition, What Are My Rights? 95 Questions and Answers About Teens and the Law presents Judge Tom Jacobs' matter-of-fact answers to common questions than teenagers have, from "If my parents get a divorce, will I still get to visit my grandparents?" to "What do I do if I'm being abused or neglected?", "What does emancipation mean?" or "Can my juvenile record be destroyed?" Though written especially to help teens stay out of trouble, What Are My Rights offers nothing more or less than plain honest truth, without preaching or moralizing, in simple question-and-answer format. Enthusiastically recommended for public library collections.

    4 out of 5 stars The Best Teens Guid In the World.......2003-01-07

    This book was basically adout a teen's life and what main thigs go on. This book has alot of the bad things that teens think adout doing or have done and the consequences of getting caught.This book also gives good advise about everything from being adopted to having sex.

    I liked the book because I learned a lot of facts about my life as a teen that will be helpful to me.

    I would recommend this book to all of the teens that want to know the limits that they can go in life; good and bad. I would also recommend this book to the parents so that they will have some idea of how to better deal with teens that are out of control and not out of control.
    First Year Questions and Answers
    Average customer rating: 5 out of 5 stars
    • I Normally Hate Emanuel's
    First Year Questions and Answers
    Steve Emanuel
    Manufacturer: Aspen Law & Business Publishers
    ProductGroup: Book
    Binding: Paperback

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    ASIN: 0735526745

    Customer Reviews:

    5 out of 5 stars I Normally Hate Emanuel's.......2007-07-31

    Normally, I cannot stand Emanuel's books or outlines - but this one is awesome. It gives you short and sweet single issue fact patterns that you can use to practice for your exams. The books leaves no topic without at least one question - including obscure items like tort immunities or zoning variances. One L's who discover this book in their first semester are in luck, for I did not get mine until the end of the second semester.
    The Musician's Guide Through the Legal Jungle : Answers to Frequently Asked Questions About Music Law (Guide Through the Legal Jungle Audiobook Series)
    Average customer rating: 5 out of 5 stars
    • Except of review from The Muse's News -December 2000 Issue
    • Good for beginners and seasoned pros alike...
    The Musician's Guide Through the Legal Jungle : Answers to Frequently Asked Questions About Music Law (Guide Through the Legal Jungle Audiobook Series)
    Joy R. Butler
    Manufacturer: Sashay Communications Llc
    ProductGroup: Book
    Binding: Audio Cassette

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    ASIN: 0967294002

    Book Description

    Isn't a successful music career worth 3 hours of your time?

    Then spend those hours with The Musician's Guide Through the Legal Jungle.

    If you're bewildered by the maze of legal concepts in the competitive music business, you've found the solution to your troubles. With this audiobook, you'll get a practical overview of music law without having to trudge through pages of dense legalese. Listen in on a conversation between a musician and a legal expert as they address the legal issues of greatest interest to performing artists and songwriters — and to anyone else pursuing a professional career in the music industry.

    You'll get vital information about:

    * Negotiating record deals and songwriter agreements
    * Generating income from your songs
    * Calculating your record royalties step-by-step
    * Protecting your music through copyright law
    * Hiring agents, managers and attorneys
    * Working with a music publisher versus handling your own publishing
    * Establishing rights in your band name through trademark protection
    * Organizing your band as a business and developing a written agreement among band members

    The audiobook package includes a 62-page booklet featuring a glossary of music industry terms, contract negotiation guides and a listing of resources.

    Customer Reviews:

    5 out of 5 stars Except of review from The Muse's News -December 2000 Issue.......2000-12-13

    Joy has really put something special together here. Not only is the information explained in easily understood terms using specific (if manufactured) examples, but the readers on the tapes speak well, slowly enough to be clearly understood, and made me feel comfortable listening to them. (I swear that James' voice reminds me of the narrator from that really popular Civil War documentary...) Confused about Copyrights? Don't understand why a Poor Man's Copyright won't hold up in a court of law? Want to know the difference between a mechanical license and a performing rights license? Interested in the legal differences between major record labels and independent labels? Want to know how best to go about retaining a music lawyer, should you need one? There are a whole host of other answers to frequently asked questions on the subject of music law - each one answered succinctly (and without talking down to the audience that would be listening to it, which I feel is very important), then cross-referenced in the small booklet that's included. It's a portable guide that will give you the basics without requiring you to read a huge tome on the subject. This is one of the best references I've seen on this very confusing topic in YEARS. For ...... - less than most printed publications on the subject, I'd say this is a *very* worthy investment.

    5 out of 5 stars Good for beginners and seasoned pros alike..........2000-12-07

    The Musician's Guide Through the Legal Jungle is head and shoulders above most of the other books on the industry. It cuts right to the chase without getting bogged down in legalese. Not only is the interview format easy for the layman to understand, but the audiobook gives him action items that he can use immediately. I also commend Joy Butler on the accompanying booklet. While other books contain page after page after page of dense text that can be at times hard to follow, the booklet summarizes the most important parts of music law in just 62 pages. It also has one of the easiest to understand breakdowns of how to calculate your record royalties I've ever seen.
    100 Answers to Your Questions on Annulments (A Basilica Press "Modern Apologetics" Book)
    Average customer rating: 5 out of 5 stars
    • User-Friendly and With Eyes on Rome
    100 Answers to Your Questions on Annulments (A Basilica Press "Modern Apologetics" Book)
    Edward N. Peters
    Manufacturer: Basilica Press / Simon & Schuster
    ProductGroup: Book
    Binding: Hardcover

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    5. Annulment: The Wedding That Was : How the Church Can Declare a Marriage Null Annulment: The Wedding That Was : How the Church Can Declare a Marriage Null

    ASIN: 0536001723

    Book Description

    An excellent and highly-readable "question & answer" format book on the subject of divorce, remarriage, and annulments in the Catholic Church. Written in a clear, easy to follow style, this book is an important resource for Catholics and non-Catholics, clergy and laity.

    Customer Reviews:

    5 out of 5 stars User-Friendly and With Eyes on Rome.......2004-05-20

    As someone going through the annulment process, this book has been my guide, reference and map. It gives the facts in a compassionate, pastoral manner and is never judgemental - that is refreshing and priceless. My only complaint is that after talking to a canon lawyer in my diocese, I discovered that there are numerous ways to "plea" one's case and that wasn't touched on in the book and would have alleviated some headaches. All in all a must read for anyone going through, is a witness in or knows somebody getting an annulment. Way to go Dr. Peters!
    The Reader's Digest legal question & answer book
    Average customer rating: Not rated
      The Reader's Digest legal question & answer book
      Jan Bowen
      Manufacturer: Reader's Digest
      ProductGroup: Book
      Binding: Unknown Binding

      GeneralGeneral | Law | Subjects | Books
      ASIN: 0864381190
      Book Of Estate Planning Questions And Answers
      Average customer rating: Not rated
        Book Of Estate Planning Questions And Answers
        Albert C. Todd
        Manufacturer: University of South Carolina Press
        ProductGroup: Book
        Binding: Paperback

        Estates & TrustsEstates & Trusts | Taxation | Law | Subjects | Books
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        ASIN: 1570035768

        Book Description

        NOTE: Distributed for the South Carolina Bar CLE Division needs to appear much like our "new in Paperback" designations Distributed for the South Carolina Bar CLE Division The Book of Estate Planning Questions and Answers by Albert C. Todd III is a reference guide to estate planning in South Carolina. Writing in a question-and-answer format, Todd includes questions most frequently asked by clients during the course of his more than twenty-seven years of estate planning practice. While the Book of Estate Planning Questions and Answers provides a practical, down-to-earth overview of complex questions, it should not serve as a substitute for qualified legal advice. Attorneys will benefit by providing the book as a reference for clients, while laypeople can use it as a preparation guide when seeking assistance from an estate planning lawyer.

        Simply put, this book contains the answers to the questions that the author finds most people ask. Written in a simple, conversational tone that is not packed with "legalese," it includes concrete examples and illustrative diagrams. It is not written to be read from cover to cover, but rather on the premise that most people will look up specific topics or questions of concern to their particular cases, such as trusts, wills, powers of attorney, health care power of attorney, living wills, avoiding probate, and making gifts to reduce the value of one's estate.

        The Book of Estate Planning Questions and Answers is just what its name implies—a straightforward resource based on the most commonly asked estate planning questions. Unintimidating, insightful, and, most of all, practical, this book offers the perfect starting point for planning one's estate—no matter how large or small.
        Bankers' guide book,: Comprising 1190 questions and answers (with references) on legal banking problems and bank business-building methods,
        Average customer rating: Not rated
          Bankers' guide book,: Comprising 1190 questions and answers (with references) on legal banking problems and bank business-building methods,
          William Russell Morehouse
          Manufacturer: Bankers' Service Company
          ProductGroup: Book
          Binding: Unknown Binding
          ASIN: B0008C4GWS
          Computer Security
          Average customer rating: Not rated
            Computer Security
            James H. Finch
            Manufacturer: North-Holland
            ProductGroup: Book
            Binding: Hardcover

            CultureCulture | Business & Culture | Computers & Internet | Subjects | Books
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            ASIN: 0444876189

            Book Description

            Hardbound.

            Horizons: Exploring the Universe (with TheSky CD-ROM, AceAstronomy?, and Virtual Astronomy Labs)
            Average customer rating: 4 out of 5 stars
            • Excellent Introductory Text
            • mediocre
            • So, so...
            • Superb textbook - beautifully illustrated, clearly written!
            • Can a good thing get better?
            Horizons: Exploring the Universe (with TheSky CD-ROM, AceAstronomy?, and Virtual Astronomy Labs)
            Michael A. Seeds
            Manufacturer: Brooks Cole
            ProductGroup: Book
            Binding: Paperback

            AstronomyAstronomy | Astronomy | Science | Subjects | Books
            CosmologyCosmology | Astronomy | Science | Subjects | Books
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            Accessories:
            1. Virtual Astronomy Labs Virtual Astronomy Labs
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            ASIN: 0495010030

            Customer Reviews:

            5 out of 5 stars Excellent Introductory Text.......2007-02-21

            All beginning astronomy books have to cover about the same material. You know what they are: the Big Band, the Time-Line of the Universe, the Sun, the Solar System, the stars -- and that's just what this book covers.

            So why would I recommend this book over others?

            1. It's updated frequently. This gives Dr. Seeds frequent opportunities to update it with the latest theories (i.e. Pluto, Planet No More), and even more important the latest pictures, which seem to be coming at us with ever increasing speed.

            2. It's about the right length. At 516 pages it seems like a bit much for an introductory course. But that's before you consider how profusely illustrated the book. Were it reduced to just text, like the first course I took oh so many years ago, it would probably be about a hundred and fifty pages.

            3. It has a student centered approach. It's not just a dry lecture on what's happening to the Cosmos, it's a 'where are we,' 'how do we know that,' 'where are we going' approach that (hopefully) the student can see to relate herself to a bigger world.

            4. Beyond just astronomy, this book teaches the whole scientific approach: peer review of articles, use of theories to predict discoveries, etc. This is a subject sadly lacking in today's education.

            This book could be used as a course taught at either a first year background course for science/physics/astronomy majors, or would be good for a non-science major science course.

            2 out of 5 stars mediocre.......2005-12-08

            I adopted this text for my first try at teaching intro astronomy. It has lots of pretty pictures but I was not impressed with the content. This includes the text, the organization and the question/problem sets. If this text is better than most of its competitors, I am in real trouble. =-)

            3 out of 5 stars So, so..........2005-07-05

            The delivery time was very quick, that was good, and the price was great. The condition of the book was very used and they said it was like new. Other then that I guess it was O.K.

            5 out of 5 stars Superb textbook - beautifully illustrated, clearly written!.......2004-02-01

            This is the Eighth Edition of a truly superb textbook for an introductory astronomy course, or for anyone (amateur astronomers?)who is looking for a great and beautifully illustrated general reference source on astronomy. I've been teaching intro astronomy for many years and keep my eye on all the textbooks. Aimed primarily at non-science majors, Seeds' book is a hum-dinger and really the best I see out there at this time.

            The author has a very clear and quite intertaining writing style, and each edition of the book is even more beautifully illustrated than the last. The artwork especially in the last two editions is simply super, and clearly illustrate many phenomena that students often have trouble with. This textbook covers every topic needed in a survey course from the nature of light, a bit of astronomy history and telescopes, properties and formation of stars and galaxies, the planets, and very current data on cosmology, dark matter, life in the universe and so on. Very up to date!

            Mike Seeds' book goes fairly easy on the math (although all important concepts are covered)compared to some other "intro astronomy" books. Overall, I find this book ideally suited to a survey course for non-science majors. For science majors or a textbook that might also be useful in somewhat higher level astronomy courses, I would recommend Kaufmann/Freeman's "Universe" as an excellent choice.

            Seeds' book is comprehensive and about 500 pages in length - similar to almost all intro astronomy textbooks. To a great extent, literally all these 500 page textbooks are way too lengthy for a one semester survey course. It is difficult to get students to read this much for each class. I keep hoping that Mike Seeds, and excellent author, will produce a 250-300 page (maximum) version of Horizons specifically for one semester courses. Until someone creates a shorter version of the same high quality, I'll keep recommending this textbook.

            5 out of 5 stars Can a good thing get better?.......2000-10-03

            As a freshman in college (majoring in Astronomy) I had to use Horizons 4e for an Intro Astronomy course, and fell in love with it. I loved it so much that I bought Horizons 6e! I think this great book just keeps getting better! The art and photos are fantastic, and tie in well with the text, which is an easy read, great for majors and non-majors alike. In summary, Horizons 6e is a great text, well worth the money.
            Horizons: Exploring the Universe- Text Only
            Average customer rating: Not rated
              Horizons: Exploring the Universe- Text Only

              Manufacturer: Thomson; Brooks Cole
              ProductGroup: Book
              Binding: Paperback

              AstronomyAstronomy | Astronomy | Science | Subjects | Books
              Look Inside Science BooksLook Inside Science Books | Trip | Specialty Stores | Books
              ASIN: 0495012807

              Product Description

              This newly revised and updated Ninth Edition of HORIZONS shows students their place in the universe ? not just their location, but also their role as planet dwellers in an evolving universe. Fascinating and engaging, the book illustrates how science works, and how scientists depend on evidence to test hypotheses. Students will learn to focus on the scientific method through the strong central questioning themes of "What are we?" and "How do we know?" Students are also provided with an assessment tool, AceAstronomy, to help test their knowledge of the concepts through assessment, tutorials, and post-tests.
              Horizons : Exploring the Universe, w/ 2 CDs, 6th Edition, pb, 2000
              Average customer rating: Not rated
                Horizons : Exploring the Universe, w/ 2 CDs, 6th Edition, pb, 2000
                Seeds
                Manufacturer: 4087,4098,3113,2323,4818,5705b-1
                ProductGroup: Book
                Binding: Paperback
                ASIN: B000LSPKPG
                Astrononomy multimedia Manager for Seeds's Horizons, Exploring the Universe, 8th Edition (A Microsoft PowerPoint Link Tool)
                Average customer rating: Not rated
                  Astrononomy multimedia Manager for Seeds's Horizons, Exploring the Universe, 8th Edition (A Microsoft PowerPoint Link Tool)
                  Seeds
                  Manufacturer: Thomson Brooks/Cole
                  ProductGroup: Book
                  Binding: CD-ROM

                  AstronomyAstronomy | Astronomy | Science | Subjects | Books
                  ASIN: B000QQEHMK

                  Product Description

                  CD-ROM
                  Horizons, exploring the universe tonight
                  Average customer rating: Not rated
                    Horizons, exploring the universe tonight
                    George Reed
                    Manufacturer: Wadsworth Pub. Co
                    ProductGroup: Book
                    Binding: Unknown Binding

                    AstronomyAstronomy | Astronomy | Science | Subjects | Books
                    ASIN: 0534008895
                    Horizons, Exploring the Universe, Sixth Edition, INSTRUCTOR'S MANUAL
                    Average customer rating: Not rated
                      Horizons, Exploring the Universe, Sixth Edition, INSTRUCTOR'S MANUAL
                      Mark A. Nook , and Seeds
                      Manufacturer: Thomson Learning
                      ProductGroup: Book
                      Binding: Paperback
                      ASIN: B000QECN6E

                      Product Description

                      273 pages
                      Horizons,6th Ed,Exploring the Universe,Text Only No CD's,pb,2000
                      Average customer rating: Not rated
                        Horizons,6th Ed,Exploring the Universe,Text Only No CD's,pb,2000
                        Seeds
                        Manufacturer: Brooks/Cole
                        ProductGroup: Book
                        Binding: Paperback
                        ASIN: B000MM44YE
                        Horizons: Exploring the Universe, TEXT ONLY, 7th Edition, pb, 2002
                        Average customer rating: Not rated
                          Horizons: Exploring the Universe, TEXT ONLY, 7th Edition, pb, 2002
                          Seeds
                          Manufacturer: AI 0534381855 (w/ CDR)
                          ProductGroup: Book
                          Binding: Paperback
                          ASIN: B000MLYFVC
                          Telecourse Student Guide for Seeds' Horizons: Exploring the Universe, 10th
                          Average customer rating: Not rated
                            Telecourse Student Guide for Seeds' Horizons: Exploring the Universe, 10th
                            Michael A. Seeds
                            Manufacturer: Brooks Cole
                            ProductGroup: Book
                            Binding: Paperback

                            AstronomyAstronomy | Astronomy | Science | Subjects | Books
                            GeneralGeneral | Science | Subjects | Books
                            AstronomyAstronomy | Astronomy | Professional Science | Professional & Technical | Subjects | Books
                            Similar Items:
                            1. Horizons: Exploring the Universe (with TheSky CD-ROM, AceAstronomy?, and Virtual Astronomy Labs) Horizons: Exploring the Universe (with TheSky CD-ROM, AceAstronomy?, and Virtual Astronomy Labs)

                            ASIN: 0495113654
                            Telecourse Student Guide for Universe: The Infinite Frontier/ Keyed to Seeds's Horizons Exploring the Universe 5th Ed &Seeds's Foundation of Astronomy 4th Ed
                            Average customer rating: Not rated
                              Telecourse Student Guide for Universe: The Infinite Frontier/ Keyed to Seeds's Horizons Exploring the Universe 5th Ed &Seeds's Foundation of Astronomy 4th Ed
                              Stephen P. Lattanzio , Joel M. Levine , Valerie Lynch Lee , and Coast Telecourses
                              Manufacturer: Wadsworth/Coast Community College Costa Mesa, CA
                              ProductGroup: Book
                              Binding: Paperback

                              GeneralGeneral | Science | Subjects | Books
                              Similar Items:
                              1. Horizons: Exploring the Universe (with TheSky CD-ROM, AceAstronomy?, and Virtual Astronomy Labs) Horizons: Exploring the Universe (with TheSky CD-ROM, AceAstronomy?, and Virtual Astronomy Labs)

                              ASIN: 0534524362

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