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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

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. Th...

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Guardat en:
Autors principals: Hung, Angela A., Clancy, Noreen, Dominitz, Jeff, Talley, Eric, Berrebi, Claude
Format: Online
Idioma:anglès
Publicat: RAND Corporation 2023
Matèries:
Law
thema EDItEUR::L Law::LA Jurisprudence and general issues::LAF Systems of law::LAFD Systems of law: civil codes / civil law
Accés en línia:ONIX_20231005_9780833047847_588
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Sumari: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.

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