Broker-dealers and Securities Markets
| Title | Broker-dealers and Securities Markets PDF eBook |
| Author | Sheldon M. Jaffe |
| Publisher | |
| Pages | 472 |
| Release | 1977 |
| Genre | Brokers |
| ISBN |
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Regulation of Brokers, Dealers, and Securities Markets
| Title | Regulation of Brokers, Dealers, and Securities Markets PDF eBook |
| Author | Nicholas Wolfson |
| Publisher | |
| Pages | 538 |
| Release | 1977 |
| Genre | Business & Economics |
| ISBN |
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Report of special study of securities markets of the Securities and Exchange Commission
| Title | Report of special study of securities markets of the Securities and Exchange Commission PDF eBook |
| Author | United States. Securities and Exchange Commission |
| Publisher | |
| Pages | 988 |
| Release | 1968 |
| Genre | |
| ISBN |
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The Securities Markets
| Title | The Securities Markets PDF eBook |
| Author | Sidney M. Robbins |
| Publisher | |
| Pages | 328 |
| Release | 1966 |
| Genre | Securities |
| ISBN |
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Enhancing Investor Protection and the Regulation of Securities Markets
| Title | Enhancing Investor Protection and the Regulation of Securities Markets PDF eBook |
| Author | United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
| Publisher | |
| Pages | 356 |
| Release | 2009 |
| Genre | Global Financial Crisis, 2008-2009 |
| ISBN |
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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
| Title | Investor and Industry Perspectives on Investment Advisers and Broker-Dealers PDF eBook |
| Author | Angela A. Hung |
| Publisher | Rand Corporation |
| Pages | 151 |
| Release | 2008-03-12 |
| Genre | Law |
| ISBN | 0833045016 |
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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.
Regulation of Fixed Income Securities Markets in the United States
| Title | Regulation of Fixed Income Securities Markets in the United States PDF eBook |
| Author | Felice B. Friedman |
| Publisher | World Bank Publications |
| Pages | 55 |
| Release | 2004 |
| Genre | Fixed-income securities |
| ISBN |
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