Author : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher :
Page : 140 pages
File Size : 28,41 MB
Release : 1974
Category : Disclosure of information
ISBN :
Author : United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher :
Page : 130 pages
File Size : 20,53 MB
Release : 1974
Category :
ISBN :
Author : Angela A. Hung
Publisher : Rand Corporation
Page : 151 pages
File Size : 29,33 MB
Release : 2008-03-12
Category : Law
ISBN : 0833045016
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 :
Publisher :
Page : 2834 pages
File Size : 26,97 MB
Release : 1975
Category : Government publications
ISBN :
Author : United States. Securities and Exchange Commission
Publisher :
Page : 244 pages
File Size : 14,89 MB
Release : 1974
Category : Securities
ISBN :
Author : United States. Securities and Exchange Commission
Publisher :
Page : 702 pages
File Size : 11,52 MB
Release :
Category : Securities
ISBN :
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
Page : 2314 pages
File Size : 38,2 MB
Release : 1977
Category : Government publications
ISBN :
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher :
Page : 536 pages
File Size : 10,54 MB
Release : 1975
Category :
ISBN :
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher :
Page : 536 pages
File Size : 16,41 MB
Release : 1975
Category : Government publications
ISBN :
Author : United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Citizens and Shareholders Rights and Remedies
Publisher :
Page : 594 pages
File Size : 22,1 MB
Release : 1979
Category : Pension trusts
ISBN :
