Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight PDF Download
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Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
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Book Description
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
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Book Description
Author: United States. Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781977945105
Category :
Languages : en
Pages : 578
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Book Description
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:
ISBN:
Category :
Languages : en
Pages :
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Book Description
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Financial planners
Languages : en
Pages : 60
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Book Description
Author: Angela A. Hung
Publisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
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Book Description
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
ISBN: 1437980600
Category : Business & Economics
Languages : en
Pages : 208
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Book Description
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: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 336
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Book Description
Author: American Law Institute
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 345
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Book Description
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 328
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Book Description
Author: Thomas P. Lemke
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 918
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Book Description
