Investor and industry perspectives on investment advisers and broker-dealers
Investor and industry perspectives on investment advisers and broker-dealers [electronic resource] /
Angela K. Hung ... [et al.].
- Santa Monica, CA : Rand, c2008.
- xxiii, 204 p. : ill. (some col.).
- Technical report ; TR-556-SEC .
- Technical report (Rand Corporation) ; TR-556-SEC. .
"RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance."
Includes bibliographical references (p. 199-204).
Regulatory and legal background -- View of the industry from published sources -- Insights from industry data -- Documentation and information provided by firms -- Investors' level of understanding.
Electronic reproduction.
Palo Alto, Calif. :
ebrary,
2013.
Available via World Wide Web.
Access may be limited to ebrary affiliated libraries.
Securities--United States.
Securities industry--Law and legislation--United States.
Investment advisors--Legal status, laws, etc.--United States.
Stockbrokers--Legal status, laws, etc.--United States.
Electronic books.
KF1070 / .I58 2008eb
346.73/0922
"RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance."
Includes bibliographical references (p. 199-204).
Regulatory and legal background -- View of the industry from published sources -- Insights from industry data -- Documentation and information provided by firms -- Investors' level of understanding.
Electronic reproduction.
Palo Alto, Calif. :
ebrary,
2013.
Available via World Wide Web.
Access may be limited to ebrary affiliated libraries.
Securities--United States.
Securities industry--Law and legislation--United States.
Investment advisors--Legal status, laws, etc.--United States.
Stockbrokers--Legal status, laws, etc.--United States.
Electronic books.
KF1070 / .I58 2008eb
346.73/0922