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

By Angela A. Hung, Jeff Dominitz, Eric Talley

In conception, monetary pros are quite unique: A broker-dealer conducts transactions in securities on behalf of itself and others; and an funding adviser offers suggestion to others concerning securities. diverse legislation control each one kind of expert, yet barriers have blurred. This document examines present company practices and investor figuring out of every sort.

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