Investor and industry perspectives on investment advisers and broker-dealers / / Angela K. Hung ... [et al.].
In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advise...
Saved in:
| Superior document: | Technical report ; TR-556-SEC |
|---|---|
| : | |
| TeilnehmendeR: | |
| Year of Publication: | 2008 |
| Edition: | 1st ed. |
| Language: | English |
| Series: | Technical report (Rand Corporation) ;
TR-556-SEC. |
| Physical Description: | 1 online resource (229 p.) |
| Notes: | "RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance." |
| Tags: |
Add Tag
No Tags, Be the first to tag this record!
|
Electronic
| DOAB Directory of Open Access Books | Available |