Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Rand Corporation, Mar 12, 2008 - Law - 228 pages
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.
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Domestic Intelligence in Context
Chapter Two Defining Domestic Intelligence
Chapter Three Current Domestic Intelligence Arrangements andTheir Performance
Chapter Four A Range of Options for Improving Domestic Intelligence
Chapter Five Assessing Structural Options
An Approach forConsidering the Uncertain Costs and Benefits ofOrganizational Change
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