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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

by Angela A. Hung , Jeff Dominitz , Claude Berrebi , Farrukh Suvankulov , Eric Talley , Noreen Clancy

in Anlageberatung / Börsenmakler / Civil Justice / Investment advisors / Jurisprudence and general issues / Kapitalmarktrecht / Law / Law and legislation / Legal status, laws, etc / Securities / Securities industry / Stockbrokers / Systems of law / Systems of law: civil codes / civil law / United States / USA / Wertpapierhandel

2008

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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

by Angela A. Hung , Jeff Dominitz , Claude Berrebi , Farrukh Suvankulov , Eric Talley , Noreen Clancy

2008

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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

by Angela A. Hung , Jeff Dominitz , Claude Berrebi , Farrukh Suvankulov , Eric Talley , Noreen Clancy

2008

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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Angela A. Hung,

Jeff Dominitz,

Claude Berrebi,

Farrukh Suvankulov,

Eric Talley,

Noreen Clancy

2008

Overview

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.

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Publisher

RAND Corporation,RAND Corporation, The,RAND,Rand

Subject

Anlageberatung

/ Börsenmakler

/ Civil Justice

/ Investment advisors

/ Jurisprudence and general issues

/ Kapitalmarktrecht

/ Law