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...
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Superior document: | Technical report ; TR-556-SEC |
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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." |
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Table of Contents:
- Regulatory and legal background
- View of the industry from published sources
- Insights from industry data
- Documentation and information provided by firms
- Investors' level of understanding.