Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Download or Read eBook Investor and Industry Perspectives on Investment Advisers and Broker-Dealers PDF written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle.
| Author | : Angela A. Hung |
| Publisher | : Rand Corporation |
| Total Pages | : 151 |
| Release | : 2008-03-12 |
| ISBN-10 | : 9780833045010 |
| ISBN-13 | : 0833045016 |
| Rating | : 4/5 (10 Downloads) |
Book Synopsis Investor and Industry Perspectives on Investment Advisers and Broker-Dealers by : Angela A. Hung
Book excerpt: 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.
