Investor and Industry Perspectives on Investment Advisers and Broker-dealers

by Angela A. Hung , Claude Berrebi , Eric Talley , Farrukh Suvankulov , Jeff Dominitz , Noreen Clancy

Book Details

Format Paperback / Softback

ISBN-10 0833044036

ISBN-13 9780833044037

Publisher RAND

Imprint RAND

Country of Manufacture GB

Country of Publication GB

Publication Date Mar 25th, 2008

Print length 228 Pages

Weight 640 grams

Dimensions 28.20 x 22.00 x 1.70 cms

Product Classification: Investment & securities

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Ksh 6,100.00

Re-Printing 0 in stock

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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.

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