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Title Investor and industry perspectives on investment advisers and broker-dealers [electronic resource] / Angela K. Hung ... [et al.].

Imprint Santa Monica, CA : Rand, c2008.

Copies

Location Call No. OPAC Message Status
 Axe ProQuest E-Book  Electronic Book    ---  Available
Description xxiii, 204 p. : ill. (some col.).
Series Technical report ; TR-556-SEC
Technical report (Rand Corporation) ; TR-556-SEC.
Note "RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance."
Bibliography Includes bibliographical references (p. 199-204).
Contents 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.
Reproduction Electronic reproduction. Ann Arbor, MI : ProQuest, 2015. Available via World Wide Web. Access may be limited to ProQuest affiliated libraries.
Subject 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.
Genre/Form Electronic books.
Added Author Hung, Angela A.
LRN-RAND Center for Corporate Ethics, Law, and Governance.
ProQuest (Firm)
ISBN 9780833044037 (pbk. : alk. paper)
0833044036 (pbk. : alk. paper)

 
    
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