WALTHAM, Mass. – July 22, 2009 – Wolters Kluwer Financial Services has released “Practical Guide to Broker-Dealer Regulation: FINRA Rules & Requirements in Plain English,” a new soft cover book that helps securities professionals navigate, better understand and apply Financial Industry Regulatory Authority (FINRA) rules.
“Practical Guide to Broker-Dealer Regulation” organizes FINRA rules by functional areas of a broker-dealer, making it easier for compliance officers to find the rules that apply in a particular situation. The book provides summaries of what the rules require and their intent, as well as cross references to interpretive letters and notices to FINRA members related to specific rules. Additionally, the book offers “Compliance In Action” sections—hypothetical scenarios—that illustrate how the requirements of a rule would come into play for real-life daily operations of a firm.
The book was authored by Margaret A. Sheehan, a partner at Alston and Bird LLP who heads the firms Investment Products and Services Group; Joshua Andersen, an associate at Alston and Bird LLP in the Financial Services and Products Group; and Rockell C. Metcalf, vice president and group counsel of Ameriprise Financial, Inc.
“The ‘Practical Guide’ helps compliance officers access the information they need to implement and manage effective compliance programs,” said Anna Monteiro, senior director of Regulatory Products at Wolters Kluwer Financial Services. “It also serves as an informative reference tool for a firm’s attorneys and branch managers as they encounter compliance questions in their daily business activities, and is a valuable asset in compliance training for branch personnel.”
In addition to ordering a soft cover copy of the book, financial professionals can also access an electronic version online via Wolters Kluwer Financial Services’ Compliance Resource Network or Wolters Kluwer Law & Business’ Internet Research Network. For more information, call 866-220-0297.
About Wolters Kluwer Financial Services
Wolters Kluwer Financial Services provides best-in-class compliance, content, and technology solutions and services that help financial organizations manage risk and improve efficiency and effectiveness across their enterprise. The organization’s prominent brands include Bankers Systems, VMP® Mortgage Solutions, PCi, AppOne®, GainsKeeper®, Capital Changes, NILS, AuthenticWeb™ and Uniform Forms™. Wolters Kluwer Financial Services is part of Wolters Kluwer, a leading global information services and publishing company with annual revenues of (2008) €3.4 billion ($4.9 billion) and approximately 20,000 employees worldwide. Please visit our Web site for more information.
