Investor and industry perspectives on investment advisers and broker-dealers [electronic resource] / Angela K. Hung ... [et al.].
Contributor(s): Hung, Angela A
| LRN-RAND Center for Corporate Ethics, Law, and Governance | ebrary, Inc.
Series: Technical report (Rand Corporation): TR-556-SEC.Publisher: Santa Monica, CA : Rand, c2008Description: xxiii, 204 p. : ill. (some col.) ; 28 cm.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 StatesGenre/Form: Electronic books. DDC classification: 346.73/0922 Online resources: An electronic book accessible through the World Wide Web; click to view | Item type | Current location | Call number | Status | Date due | Barcode |
|---|---|---|---|---|---|
| 346.73/0922 (Browse shelf) | Available |
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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.
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Electronic reproduction. Palo Alto, Calif. : ebrary, 2009. Available via World Wide Web. Access may be limited to ebrary affiliated libraries.