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Institutional Disclosure and Sales of Investment Company Advisers

Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 140

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Book Description

Institutional Disclosure and Sales of Investment Company Advisers

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Institutional Disclosure and Sales of Investment Company Advisers, Hearing Before the Subcommittee on Commerce and Finance of ..., 93-2, Sept. 13, 1974

Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
ISBN:
Category :
Languages : en
Pages : 130

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Book Description

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

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.

Monthly Catalog of United States Government Publications

Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 2834

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Annual Report of the Securities and Exchange Commission

Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 244

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Book Description

Annual Report of the SEC.

Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 702

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Book Description

Secondary Market Operations of the Federal National Mortgage Association and the Federal Home Loan Mortgage Corporation

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 2314

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Book Description

Securities Acts Aendments of 1975, Hearings Before the Subcommittee on Securities of ...,94-1 on S.249 ..., February 19, 20, and 21,1075260:

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category :
Languages : en
Pages : 536

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Securities Acts Amendments of 1975

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 536

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Book Description

Pension Fund Investment Policies

Author: United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Citizens and Shareholders Rights and Remedies
Publisher:
ISBN:
Category : Pension trusts
Languages : en
Pages : 594

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Book Description