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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Language: en
Pages: 151
Authors: Angela A. Hung
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Type: BOOK - Published: 2008-03-12 - Publisher: Rand Corporation

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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
Study on Investment Advisers and Broker-Dealers
Language: en
Pages: 208
Authors: Barry Leonard
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Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial
Study on Investment Advisers and BrokerDealers
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Authors:
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Type: BOOK - Published: - Publisher: DIANE Publishing

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Regulation of Investment Advisers
Language: en
Pages:
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Categories: Investment advisors
Type: BOOK - Published: 2015 - Publisher:

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U.S. Regulation of the International Securities and Derivatives Markets
Language: en
Pages: 254
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Type: BOOK - Published: 2002 - Publisher: Aspen Law & Business Publishers

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