Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author :
Publisher : Rand Corporation
Total Pages : 151
Release :
ISBN-10 : 9780833045010
ISBN-13 : 0833045016
Rating : 4/5 (10 Downloads)

Book Synopsis Investor and Industry Perspectives on Investment Advisers and Broker-Dealers by : Angela A. Hung

Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.


Investor and Industry Perspectives on Investment Advisers and Broker-Dealers Related Books

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Language: en
Pages: 151
Authors: Angela A. Hung
Categories: Law
Type: BOOK - Published: 2008-03-12 - Publisher: Rand Corporation

DOWNLOAD EBOOK

In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen
Study on Investment Advisers and Broker-Dealers
Language: en
Pages: 208
Authors: Barry Leonard
Categories: Business & Economics
Type: BOOK - Published: 2011-05 - Publisher: DIANE Publishing

DOWNLOAD EBOOK

Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial
Study on Investment Advisers and BrokerDealers
Language: en
Pages: 208
Authors:
Categories:
Type: BOOK - Published: - Publisher: DIANE Publishing

DOWNLOAD EBOOK

Regulation of Investment Advisers
Language: en
Pages:
Authors: Thomas P. Lemke
Categories: Investment advisors
Type: BOOK - Published: 2015 - Publisher:

DOWNLOAD EBOOK

U.S. Regulation of the International Securities and Derivatives Markets
Language: en
Pages: 254
Authors:
Categories: Business & Economics
Type: BOOK - Published: 2002 - Publisher: Aspen Law & Business Publishers

DOWNLOAD EBOOK