Investor and industry perspectives on investment advisers and broker-dealers:
Gespeichert in:
| Format: | Elektronisch E-Book |
|---|---|
| Sprache: | English |
| Veröffentlicht: |
Santa Monica, CA
Rand
c2008
|
| Schriftenreihe: | Technical report (Rand Corporation)
TR-556-SEC. |
| Schlagworte: | |
| Online-Zugang: | FAW01 FAW02 Volltext |
| Beschreibung: | "RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance.". - Master and use copy. Digital master created according to Benchmark for Faithful Digital Reproductions of Monographs and Serials, Version 1. Digital Library Federation, December 2002 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 In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990s have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND to conduct this study to examine the professionals' current business practices and whether investors understand differences between and relationships among them. The report describes a heterogeneous industry, with firms taking many different forms and offering a multitude of services and products and with investors failing to distinguish broker-dealers and investment advisers along regulatory lines. Despite this, investors express high levels of satisfaction with the services they receive from their own financial service providers. This satisfaction was much more frequently reported to arise from the personal attention the investor receives than from the actual financial returns arising from this relationship |
| Beschreibung: | 1 Online-Ressource (xxiii, 204 p.) |
| ISBN: | 0833045016 0833047841 9780833045010 9780833047847 |
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| 500 | |a Includes bibliographical references (p. 199-204) | ||
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| 500 | |a In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990s have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND to conduct this study to examine the professionals' current business practices and whether investors understand differences between and relationships among them. The report describes a heterogeneous industry, with firms taking many different forms and offering a multitude of services and products and with investors failing to distinguish broker-dealers and investment advisers along regulatory lines. Despite this, investors express high levels of satisfaction with the services they receive from their own financial service providers. This satisfaction was much more frequently reported to arise from the personal attention the investor receives than from the actual financial returns arising from this relationship | ||
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Datensatz im Suchindex
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| id | DE-604.BV043122708 |
| illustrated | Not Illustrated |
| indexdate | 2024-07-10T07:18:07Z |
| institution | BVB |
| isbn | 0833045016 0833047841 9780833045010 9780833047847 |
| language | English |
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| physical | 1 Online-Ressource (xxiii, 204 p.) |
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| publishDate | 2008 |
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| spelling | Investor and industry perspectives on investment advisers and broker-dealers Angela K. Hung ... [et al.] Santa Monica, CA Rand c2008 1 Online-Ressource (xxiii, 204 p.) txt rdacontent c rdamedia cr rdacarrier Technical report (Rand Corporation) TR-556-SEC. "RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance.". - Master and use copy. Digital master created according to Benchmark for Faithful Digital Reproductions of Monographs and Serials, Version 1. Digital Library Federation, December 2002 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 In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990s have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND to conduct this study to examine the professionals' current business practices and whether investors understand differences between and relationships among them. The report describes a heterogeneous industry, with firms taking many different forms and offering a multitude of services and products and with investors failing to distinguish broker-dealers and investment advisers along regulatory lines. Despite this, investors express high levels of satisfaction with the services they receive from their own financial service providers. This satisfaction was much more frequently reported to arise from the personal attention the investor receives than from the actual financial returns arising from this relationship LAW / Administrative Law & Regulatory Practice bisacsh LAW / Civil Law bisacsh Investment advisors / Legal status, laws, etc fast Securities fast Securities industry / Law and legislation fast Stockbrokers / Legal status, laws, etc fast Recht 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 USA Hung, Angela A. Sonstige oth LRN-RAND Center for Corporate Ethics, Law, and Governance Sonstige oth Erscheint auch als Druck-Ausgabe, Paperback 0-8330-4403-6 Erscheint auch als Druck-Ausgabe, Paperback 978-0-8330-4403-7 http://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&db=nlabk&AN=230153 Aggregator Volltext |
| spellingShingle | Investor and industry perspectives on investment advisers and broker-dealers LAW / Administrative Law & Regulatory Practice bisacsh LAW / Civil Law bisacsh Investment advisors / Legal status, laws, etc fast Securities fast Securities industry / Law and legislation fast Stockbrokers / Legal status, laws, etc fast Recht 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 |
| title | Investor and industry perspectives on investment advisers and broker-dealers |
| title_auth | Investor and industry perspectives on investment advisers and broker-dealers |
| title_exact_search | Investor and industry perspectives on investment advisers and broker-dealers |
| title_full | Investor and industry perspectives on investment advisers and broker-dealers Angela K. Hung ... [et al.] |
| title_fullStr | Investor and industry perspectives on investment advisers and broker-dealers Angela K. Hung ... [et al.] |
| title_full_unstemmed | Investor and industry perspectives on investment advisers and broker-dealers Angela K. Hung ... [et al.] |
| title_short | Investor and industry perspectives on investment advisers and broker-dealers |
| title_sort | investor and industry perspectives on investment advisers and broker dealers |
| topic | LAW / Administrative Law & Regulatory Practice bisacsh LAW / Civil Law bisacsh Investment advisors / Legal status, laws, etc fast Securities fast Securities industry / Law and legislation fast Stockbrokers / Legal status, laws, etc fast Recht 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 |
| topic_facet | LAW / Administrative Law & Regulatory Practice LAW / Civil Law Investment advisors / Legal status, laws, etc Securities Securities industry / Law and legislation Stockbrokers / Legal status, laws, etc Recht 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 USA |
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