Investor and Industry Perspectives on Investment Advisers and Broker-dealers

by Noreen Clancy, Angela A. Hung, Jeff Dominitz

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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 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.This report examines current practices and investor understanding of broker-dealers, and investment advisers - two distinct types of financial professionals whose boundaries have blurred in recent decades.

Format:Paperback

Language:English

ISBN:0833044036

ISBN13:9780833044037

Release Date:March 2008

Publisher:RAND Corporation

Length:228 Pages

Weight:1.20 lbs.

Dimensions:0.5" x 8.5" x 11.0"

Related Subjects

Law

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Investor and Industry Perspectives on Investment Advisers and Broker-dealers

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