Coping with Broker-dealer Regulation & Increasing Enforcement

Coping with Broker-dealer Regulation & Increasing Enforcement
Author :
Publisher :
Total Pages : 922
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ISBN-10 : STANFORD:36105134536692
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Download or read book Coping with Broker-dealer Regulation & Increasing Enforcement written by and published by . This book was released on 2010 with total page 922 pages. Available in PDF, EPUB and Kindle. Book excerpt:


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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen