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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Bibliographische Detailangaben
Hauptverfasser:	Hung, Angela A., Clancy, Noreen, Dominitz, Jeff, Talley, Eric, Berrebi, Claude
Format:	Online
Sprache:	Englisch
Veröffentlicht:	RAND Corporation 2023
Schlagworte:	Law thema EDItEUR::L Law::LA Jurisprudence and general issues::LAF Systems of law::LAFD Systems of law: civil codes / civil law
Online-Zugang:	ONIX_20231005_9780833047847_588
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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

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