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| Author | : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance |
| Publisher | : |
| Total Pages | : 140 |
| Release | : 1974 |
| Genre | : Disclosure of information |
| ISBN | : |
| Author | : United States. Congress. House. Committee on Interstate and Foreign Commerce |
| Publisher | : |
| Total Pages | : 130 |
| Release | : 1974 |
| Genre | : |
| 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 | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : 244 |
| Release | : 1974 |
| Genre | : Securities |
| ISBN | : |
| Author | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : 702 |
| Release | : |
| Genre | : Securities |
| ISBN | : |
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
| Publisher | : |
| Total Pages | : 2314 |
| Release | : 1977 |
| Genre | : Government publications |
| ISBN | : |
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
| Publisher | : |
| Total Pages | : 536 |
| Release | : 1975 |
| Genre | : |
| ISBN | : |
| Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
| Publisher | : |
| Total Pages | : 536 |
| Release | : 1975 |
| Genre | : Government publications |
| ISBN | : |
| Author | : United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Citizens and Shareholders Rights and Remedies |
| Publisher | : |
| Total Pages | : 594 |
| Release | : 1979 |
| Genre | : Pension trusts |
| ISBN | : |
