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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| Glavni autori: | , , , , |
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| Format: | Online |
| Jezik: | engleski |
| Izdano: |
RAND Corporation
2023
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| Teme: | |
| Online pristup: | ONIX_20231005_9780833047847_588 |
| Oznake: |
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| _version_ | 1869515654681329664 |
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| author | Hung, Angela A. Clancy, Noreen Dominitz, Jeff Talley, Eric Berrebi, Claude |
| author_browse | Berrebi, Claude Clancy, Noreen Dominitz, Jeff Hung, Angela A. Talley, Eric |
| author_facet | Hung, Angela A. Clancy, Noreen Dominitz, Jeff Talley, Eric Berrebi, Claude |
| author_sort | Hung, Angela A. |
| collection | Directory of Open Access Books |
| description | 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. |
| format | Online |
| id | doab-20.500.12854ir-114814 |
| institution | Directory of Open Access Books |
| language | eng |
| publishDate | 2023 |
| publishDateRange | 2023 |
| publishDateSort | 2023 |
| publisher | RAND Corporation |
| publisherStr | RAND Corporation |
| record_format | ojs |
| spelling | doab-20.500.12854ir-1148142024-03-30T23:23:32Z Investor and Industry Perspectives on Investment Advisers and Broker-Dealers Hung, Angela A. Clancy, Noreen Dominitz, Jeff Talley, Eric Berrebi, Claude Law thema EDItEUR::L Law::LA Jurisprudence and general issues::LAF Systems of law::LAFD Systems of law: civil codes / civil law 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. 2023-10-05T10:17:33Z 2023-10-05T10:17:33Z 2008 book ONIX_20231005_9780833047847_588 9780833047847 9780833044037 https://directory.doabooks.org/handle/20.500.12854/114814 eng image/jpeg n/a https://www.jstor.org/stable/10.7249/TR556USSEC RAND Corporation 10.7249/TR556USSEC 10.7249/TR556USSEC 47ac0b54-b121-491c-a9c8-5ca6776e27cb 9780833047847 9780833044037 open access |
| spellingShingle | Law thema EDItEUR::L Law::LA Jurisprudence and general issues::LAF Systems of law::LAFD Systems of law: civil codes / civil law Hung, Angela A. Clancy, Noreen Dominitz, Jeff Talley, Eric Berrebi, Claude Investor and Industry Perspectives on Investment Advisers and Broker-Dealers |
| title | Investor and Industry Perspectives on Investment Advisers and Broker-Dealers |
| title_full | Investor and Industry Perspectives on Investment Advisers and Broker-Dealers |
| title_fullStr | Investor and Industry Perspectives on Investment Advisers and Broker-Dealers |
| title_full_unstemmed | Investor and Industry Perspectives on Investment Advisers and Broker-Dealers |
| title_short | Investor and Industry Perspectives on Investment Advisers and Broker-Dealers |
| title_sort | investor and industry perspectives on investment advisers and broker dealers |
| topic | Law thema EDItEUR::L Law::LA Jurisprudence and general issues::LAF Systems of law::LAFD Systems of law: civil codes / civil law |
| topic_facet | Law thema EDItEUR::L Law::LA Jurisprudence and general issues::LAF Systems of law::LAFD Systems of law: civil codes / civil law |
| url | ONIX_20231005_9780833047847_588 |
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