Investor and industry perspectives on investment advisers and broker-dealers - Hung, Angela A.; LRN-RAND Center for Corporate Ethics, Law, and Governance; ebrary, Inc. (Santa Monica, CA : Rand, 2008)
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.
"RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance."
Includes bibliographical references (p. 199-204).
Electronic reproduction.
Keywords: 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