登入選單
返回Google圖書搜尋
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Angela A. HungNoreen ClancyJeff DominitzEric TalleyClaude Berrebi
出版Rand Corporation, 2008-03-12
主題Law / Civil Law
ISBN08330450169780833045010
URLhttp://books.google.com.hk/books?id=p09BgjU0_cYC&hl=&source=gbs_api
EBookSAMPLE
註釋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.