Coping With Broker Dealer Regulation Increasing Enforcement
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Coping with Broker-dealer Regulation & Enforcement
| Author | : Robert M. Romano |
| Publisher | : |
| Total Pages | : 342 |
| Release | : 1998 |
| Genre | : Business & Economics |
| ISBN | : |
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
| Author | : Angela A. Hung |
| Publisher | : Rand Corporation |
| Total Pages | : 151 |
| Release | : 2008-03-12 |
| Genre | : Law |
| ISBN | : 0833045016 |
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.
Coping with Broker/dealer Regulation & Enforcement, 2004
| Author | : |
| Publisher | : Practising Law Institute |
| Total Pages | : |
| Release | : 2004 |
| Genre | : Disclosure of information |
| ISBN | : 9781402404986 |
Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight
| Author | : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises |
| Publisher | : |
| Total Pages | : 580 |
| Release | : 2012 |
| Genre | : Business & Economics |
| ISBN | : |
U.S. Regulation of the International Securities and Derivatives Markets
| Author | : |
| Publisher | : Aspen Law & Business Publishers |
| Total Pages | : 254 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
