Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Author: Angela A. Hung

Publisher: Rand Corporation

Published: 2008-03-12

Total Pages: 151

ISBN-13: 0833045016

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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.

The NASDAQ Handbook
The NASDAQ Handbook

Author: National Association of Securities Dealers

Publisher: Irwin Professional Publishing

Published: 1992

Total Pages: 388

ISBN-13: 9781557384034

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Explores the uses, efficacy, implications, and opportunities of the Nasdaq Stock Market, and discusses such topics as listing requirements, competition and technology, and securities and regulation

SEC News Digest
SEC News Digest

Author: United States. Securities and Exchange Commission

Publisher:

Published: 1977-07

Total Pages: 644

ISBN-13:

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Lists documents available from Public Reference Section, Securities and Exchange Commission.

SEC Docket
SEC Docket

Author: United States. Securities and Exchange Commission

Publisher:

Published: 1996

Total Pages: 1284

ISBN-13:

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Securities Markets Agencies
Securities Markets Agencies

Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance

Publisher:

Published: 1969

Total Pages: 466

ISBN-13:

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Committee Serial No. 91-9. Reviews administration of laws regulating securities market.