About This Site
Why Compliance Guidebook?
Compliance Guidebook makes it easy for investment advisers to research critical compliance topics.
Each Guidebook groups information by topic, pulling together all the of the legislation, regulation and guidance that pertain to an issue.
Expandable navigation allows users to browse across topics or to drill down into a specific area.
Reference
Citation for the text, with links when available. The Guidebook uses USC and CFR citations for legislation and regulations, respectively. (Common industry names are noted in parentheses.)
- Source: Organization creating the reference work
- Type: Legislation / Regulation / Guidance
- Date: Most recent amendment to reference work (at specific section level when available)
Summary
Synopsis of the section being cited. These summaries seek to capture key points and may not cover all details pertinent to a user of this site.
Text
Reference text. Omissions are noted with an ellipsis . . . . [Additional text or notes appear in square brackets.]
Notes
Any notes on the text or changes to the text (e.g., “emphasis added”). Relevant rulemaking is mentioned here.
Look below the entry for date of last update.
Navigation Menu
The table of contents is expandable. Click on the arrows to see sub-topics and drill down for more detail.
Click on an entry to navigate to it.
Comment or Correction?
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Click the link at the end of the entry.
Not Legal Advice
Compliance Guidebook is for reference only and is not legal advice. Users of this site should consult with their legal counsel to determine how laws, regulations and guidance apply to them.
Content Disclaimer
Compliance Guidebook does not guarantee that the content of this site is accurate or complete. Users of this site should consult their legal counsel and source materials to confirm that they are aware of relevant updates to laws, regulations and guidance. Compliance Guidebook disclaims all liability to any person for any loss caused by errors or omissions on this site.
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