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Extension of SEC Institutional Investor Study, Hearing Before the Subcommittee on Commerce and Finance ... 91-1, H.R. 11608, H.J. Res. 112, September 15, 1969, Serial No. 91-24

United States. Congress. House. Interstate and Foreign Commerce

Published: 1969

Total Pages: 38

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Extension of SEC Institutional Investor Study

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance

Published: 1969

Total Pages: 48

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INSTITUTIONAL INVESTOR STUDY REPORT OF THE SECURITIES AND EXCHANGE COMMISSION VOLUME 3

Published: 1971

Total Pages: 530

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SEC Institutional Investor Study Extension

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance

Published: 1970

Total Pages: 66

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SEC Institutional Investor Study Extension, Hearing Before the Subcommittee on Commerce and Finance ... 91-2, on H.J. Res. 1247

United States. Congress. House. Interstate and Foreign Commerce

Published: 1970

Total Pages: 40

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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Angela A. Hung

Published: 2008-03-12

Total Pages: 151

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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.