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 | : |
Total Pages | : 580 |
Release | : 2012 |
Genre | : Business & Economics |
ISBN | : |
Download Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight Book in PDF, ePub and Kindle
Author | : United States. Congress |
Publisher | : Createspace Independent Publishing Platform |
Total Pages | : 578 |
Release | : 2017-10-06 |
Genre | : |
ISBN | : 9781977945105 |
Download Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight Book in PDF, ePub and Kindle
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 | : |
Total Pages | : |
Release | : 2012 |
Genre | : |
ISBN | : |
Download Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight :. Book in PDF, ePub and Kindle
Author | : United States. General Accounting Office |
Publisher | : |
Total Pages | : 60 |
Release | : 1990 |
Genre | : Financial planners |
ISBN | : |
Download Investment Advisers Book in PDF, ePub and Kindle
Author | : Angela A. Hung |
Publisher | : Rand Corporation |
Total Pages | : 151 |
Release | : 2008-03-12 |
Genre | : Law |
ISBN | : 0833045016 |
Download Investor and Industry Perspectives on Investment Advisers and Broker-Dealers Book in PDF, ePub and Kindle
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 |
Total Pages | : 208 |
Release | : 2011-05 |
Genre | : Business & Economics |
ISBN | : 1437980600 |
Download Study on Investment Advisers and Broker-Dealers Book in PDF, ePub and Kindle
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 | : |
Total Pages | : 336 |
Release | : 2013 |
Genre | : Investment advisors |
ISBN | : |
Download H.R. 4624, the Investment Adviser Oversight Act of 2012 Book in PDF, ePub and Kindle
Author | : American Law Institute |
Publisher | : |
Total Pages | : 345 |
Release | : 2009 |
Genre | : Business & Economics |
ISBN | : |
Download The financial services regulatory revolution Book in PDF, ePub and Kindle
Author | : Thomas P. Lemke |
Publisher | : |
Total Pages | : |
Release | : 2015 |
Genre | : Investment advisors |
ISBN | : 9780314832627 |
Download Regulation of Investment Advisers Book in PDF, ePub and Kindle
Author | : United States. Congress. House. Committee on Financial Services |
Publisher | : |
Total Pages | : 328 |
Release | : 2010 |
Genre | : Business & Economics |
ISBN | : |
Download Capital Markets Regulatory Reform Book in PDF, ePub and Kindle