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Investor and industry perspectives on investment advisers and broker-dealers

Additional authors: Hung, Angela A. | LRN-RAND Center for Corporate Ethics, Law, and Governance. | ebrary, Inc.
Series: Technical report ; . TR-556-SEC Published by : Rand, (Santa Monica, CA :) Physical details: xxiii, 204 p. : ill. (some col.).
Subject(s): 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.
Year: 2008
Online resources:
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"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.

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