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Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher:
Published: 2012
Total Pages: 580
ISBN-13:
DOWNLOAD EBOOKAuthor: Angela A. Hung
Publisher: Rand Corporation
Published: 2008-03-12
Total Pages: 151
ISBN-13: 0833045016
DOWNLOAD EBOOKIn 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: Thomas P. Lemke
Publisher:
Published: 2015
Total Pages:
ISBN-13: 9780314832627
DOWNLOAD EBOOKAuthor:
Publisher:
Published: 2013
Total Pages: 412
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress. House. Committee on Financial Services
Publisher:
Published: 2011
Total Pages: 256
ISBN-13:
DOWNLOAD EBOOKAuthor:
Publisher:
Published: 2012
Total Pages: 368
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress. House. Committee on Financial Services
Publisher:
Published: 2011
Total Pages: 280
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Congress. House. Committee on Financial Services
Publisher:
Published: 2011
Total Pages: 450
ISBN-13:
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Publisher: Aspen Law & Business Publishers
Published: 2002
Total Pages: 254
ISBN-13:
DOWNLOAD EBOOKAuthor: Clifford E. Kirsch
Publisher:
Published: 2006
Total Pages: 0
ISBN-13: 9781402407710
DOWNLOAD EBOOKInvestment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
