Investor and industry perspectives on investment advisers and broker-dealers

Investor and industry perspectives on investment advisers and broker-dealers / Angela K. Hung [and others].

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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Bibliographic Details
Corporate Author: LRN-RAND Center for Corporate Ethics, Law, and Governance
Other Authors: Hung, Angela A.
Format: eBook
Language:English
Published: Santa Monica, CA : Rand, ©2008.
©2008
Series:Technical report (Rand Corporation) ; TR-556-SEC.
Subjects:
Securities > United States.
Securities industry > Law and legislation > United States.
Investment advisors > Legal status, laws, etc. > United States.
Stockbrokers > Legal status, laws, etc. > United States.
LAW > Administrative Law & Regulatory Practice.
LAW > Civil Law.
Investment advisors > Legal status, laws, etc.
Securities
Securities industry > Law and legislation
Stockbrokers > Legal status, laws, etc.
United States
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