Investor and industry perspectives on investment advisers and broker-dealers [[electronic resource] /] / Angela K. Hung ... [et al.]

• Pubblicazione: Santa Monica, CA, : Rand, c2008
• Edizione: 1st ed.
• Descrizione fisica: 1 online resource (229 p.)
• Disciplina: 346.73/0922
• Soggetto topico: 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
• Altri autori: HungAngela A
• Note generali: "RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance."
• Nota di bibliografia: Includes bibliographical references (p. 199-204).
• Nota di contenuto: 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.
• Sommario/riassunto: 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
• Titolo autorizzato: Investor and industry perspectives on investment advisers and broker-dealers
• ISBN: 9786611736750; 0-8330-4784-1
• Formato: Materiale a stampa
• Livello bibliografico: Monografia
• Lingua di pubblicazione: Inglese
• Record Nr.: 9910220131903321
• Lo trovi qui: Univ. Federico II
• Serie: Technical report (Rand Corporation) ; ; TR-556-SEC.