Download Ensuring Appropriate Regulatory Oversight Of Broker Dealers And Legislative Proposals To Improve Investment Adviser Oversight full books in PDF, epub, and Kindle. Read online free Ensuring Appropriate Regulatory Oversight Of Broker Dealers And Legislative Proposals To Improve Investment Adviser Oversight ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
| 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 | : |
| Author | : United States. Congress |
| Publisher | : Createspace Independent Publishing Platform |
| Total Pages | : 578 |
| Release | : 2017-10-06 |
| Genre | : |
| ISBN | : 9781977945105 |
Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011.
| Author | : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises |
| Publisher | : |
| Total Pages | : |
| Release | : 2012 |
| Genre | : |
| ISBN | : |
| Author | : United States. General Accounting Office |
| Publisher | : |
| Total Pages | : 60 |
| Release | : 1990 |
| Genre | : Financial planners |
| ISBN | : |
| 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.
| Author | : Barry Leonard |
| Publisher | : DIANE Publishing |
| Total Pages | : 208 |
| Release | : 2011-05 |
| Genre | : Business & Economics |
| ISBN | : 1437980600 |
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 goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
| Author | : Thomas P. Lemke |
| Publisher | : |
| Total Pages | : |
| Release | : 2015 |
| Genre | : Investment advisors |
| ISBN | : 9780314832627 |
| Author | : United States. Congress. House. Committee on Financial Services |
| Publisher | : |
| Total Pages | : 336 |
| Release | : 2013 |
| Genre | : Investment advisors |
| ISBN | : |
| Author | : American Law Institute |
| Publisher | : |
| Total Pages | : 345 |
| Release | : 2009 |
| Genre | : Business & Economics |
| ISBN | : |
| Author | : Thomas P. Lemke |
| Publisher | : |
| Total Pages | : 918 |
| Release | : 1996 |
| Genre | : Investment advisors |
| ISBN | : |
