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

Contributor(s): Material type: TextTextSeries: Technical report (Rand Corporation) ; TR-556-SEC.Publication details: Santa Monica, CA : Rand, c2008.Description: xxiii, 204 p. : ill. (some col.)Subject(s): Genre/Form: DDC classification:
  • 346.73/0922 22
LOC classification:
  • KF1070 .I58 2008
Online resources:
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.
Holdings
Item type Current library Call number Status Date due Barcode
Ebook TUS: Midlands, Main Library Athlone Online eBook (Browse shelf(Opens below)) Available

"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.

Electronic reproduction. Ann Arbor, MI : ProQuest, 2015. Available via World Wide Web. Access may be limited to ProQuest affiliated libraries.

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