Investor and Industry Perspectives on Investment Advisers and Broker-dealers
Language: en
Pages: 234
Authors: Angela A. Hung
Categories: Business & Economics
Type: BOOK - Published: 2008 - Publisher: Rand Corporation

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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
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Language: en
Pages: 0
Authors: Angela Hung
Categories:
Type: BOOK - Published: 2020 - Publisher:

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This PDF document was made available as a public service of the RAND Corporation. In recent years, the evolution of the financial service industry has blurred t
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Language: en
Pages: 151
Authors: Angela A. Hung
Categories: Law
Type: BOOK - Published: 2008-03-12 - Publisher: Rand Corporation

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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen
Study on Investment Advisers and Broker-Dealers
Language: en
Pages: 208
Authors: Barry Leonard
Categories: Business & Economics
Type: BOOK - Published: 2011-05 - Publisher: DIANE Publishing

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Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial
Study on Investment Advisers and BrokerDealers
Language: en
Pages: 208
Authors:
Categories:
Type: BOOK - Published: - Publisher: DIANE Publishing

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