Investor and industry perspectives on investment advisers and broker-dealers

Investor and industry perspectives on investment advisers and broker-dealers

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:Inglés
Published: Santa Monica, CA : Rand c2008.
Edition:1st ed
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.
See on Biblioteca Universitat Ramon Llull:https://discovery.url.edu/permalink/34CSUC_URL/1im36ta/alma991009426456206719
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.

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