Download E-books Investor and Industry Perspectives on Investment Advisers and Broker-Dealers PDF

December 5, 2016 | Administrative Law | By admin | 0 Comments

By Angela A. Hung, Jeff Dominitz, Eric Talley

In thought, monetary pros are really specified: A broker-dealer conducts transactions in securities on behalf of itself and others; and an funding adviser presents recommendation to others relating to securities. various legislation keep an eye on each one kind of expert, yet barriers have blurred. This document examines present enterprise practices and investor realizing of every kind.

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