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Record Nr. |
UNINA9910220131903321 |
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Titolo |
Investor and industry perspectives on investment advisers and broker-dealers / / Angela K. Hung ... [et al.] |
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Pubbl/distr/stampa |
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Santa Monica, CA, : Rand, c2008 |
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ISBN |
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9786611736750 |
0-8330-4784-1 |
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Edizione |
[1st ed.] |
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Descrizione fisica |
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1 online resource (229 p.) |
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Collana |
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Technical report ; ; TR-556-SEC |
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Altri autori (Persone) |
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Disciplina |
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Soggetti |
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Securities - United States |
Securities industry - Law and legislation - United States |
Investment advisors - Legal status, laws, etc - United States |
Stockbrokers - Legal status, laws, etc - United States |
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Lingua di pubblicazione |
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Formato |
Materiale a stampa |
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Livello bibliografico |
Monografia |
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Note generali |
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"RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance." |
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Nota di bibliografia |
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Includes bibliographical references (p. 199-204). |
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Nota di contenuto |
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Regulatory and legal background -- View of the industry from published sources -- Insights from industry data -- Documentation and information provided by firms -- Investors' level of understanding. |
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Sommario/riassunto |
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In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990's have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND |
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