Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
By: and and and and
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- Synopsis
- 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.
- Copyright:
- 2008
Book Details
- Book Quality:
- Publisher Quality
- ISBN-13:
- 9780833047847
- Publisher:
- RAND Corporation
- Date of Addition:
- 09/30/11
- Copyrighted By:
- RAND Corporation
- Adult content:
- No
- Language:
- English
- Has Image Descriptions:
- No
- Categories:
- Nonfiction, Law, Legal Issues and Ethics
- Submitted By:
- Bookshare Staff
- Usage Restrictions:
- This is a copyrighted book.
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