WoltersKluwer Financial Services has released a new book that helps securities professionals navigate, better understand, and apply Financial Industry Regulatory Authority rules.

The book, “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.

Authors of the book are Margaret Sheehan, a partner at Alston and Bird, who heads the firm’s Investment Products and Services Group; Joshua Andersen, an associate at Alston and Bird in the Financial Services and Products Group; and Rockell Metcalf, vice president and group counsel of Ameriprise Financial.

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.