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Investor and industry perspectives on investment advisers and broker-dealers

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Autores corporativos: LRN-RAND Center for Corporate Ethics, Law, and Governance, ebrary, Inc
Outros Autores: Hung, Angela A.
Formato: Recurso Eletrônico livro eletrônico
Idioma:inglês
Publicado em: Santa Monica, CA : Rand, c2008.
coleção:Technical report (Rand Corporation) ; TR-556-SEC.
Assuntos:
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.
Electronic books.
Acesso em linha:An electronic book accessible through the World Wide Web; click to view
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Sumário:
  • 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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