Related Books
Language: en
Pages: 46
Pages: 46
Type: BOOK - Published: 2011-04 - Publisher: DIANE Publishing
The Dodd-Frank Wall Street Reform and Consumer Protection Act required this study of ways to improve the access of investors to registration information about r
Language: en
Pages: 45
Pages: 45
Type: BOOK - Published: 2011 - Publisher:
Language: en
Pages: 151
Pages: 151
Type: BOOK - Published: 2008-03-12 - Publisher: Rand Corporation
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen
Language: en
Pages: 208
Pages: 208
Type: BOOK - Published: 2011-05 - Publisher: DIANE Publishing
Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial
Language: en
Pages: 208
Pages: 208
Type: BOOK - Published: - Publisher: DIANE Publishing