Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Name: Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Noreen Clancy, Eric Talley, Angela A. Hung, Jeff Dominitz, Claude Berrebi
ISBN: 9780833044037

Author Noreen Clancy, Eric Talley, Angela A. Hung, Jeff Dominitz, Claude Berrebi

Publisher Rand Publishing

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Book Details

Author(s) Noreen Clancy, Eric Talley, Angela A. Hung, Jeff Dominitz, Claude Berrebi

Publisher Rand Publishing

ISBN / ASIN 0833044036

ISBN-13 9780833044037

Availability Usually ships in 24 hours

Sales Rank #3,864,751

Marketplace United States 🇺🇸

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Description

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.