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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
In theory, financial professionals are relatively 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.
228 pages, Paperback
First published January 1, 2008
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