Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Angela A. Hung
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.
Kategorije:
Godina:
2008
Jezik:
english
Strane:
228
ISBN 10:
0833045016
ISBN 13:
9780833045010
Fajl:
PDF, 1.59 MB
IPFS:
,
english, 2008
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