Study And Recommendations On Improved Investor Access To Registration Information About Investment Advisers And Broker Dealers

Author : Elisse B. Walter
Publisher : DIANE Publishing
ISBN 13 : 143798102X
Total Pages : 46 pages
Book Rating : 4.25/5 ( download)

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Download or read book Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker-Dealers written by Elisse B. Walter and published by DIANE Publishing. This book was released on 2011-04 with total page 46 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly available. The Act specifies that the study include an analysis of the advantages and disadvantages of further centralizing access to registration information, and identify data pertinent to investors and the method and format for displaying and publishing the data to enhance the information's accessibility and utility to investors. This is a print on demand report.

Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher :
ISBN 13 :
Total Pages : 580 pages
Book Rating : 4.03/5 ( download)

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Download or read book Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and published by . This book was released on 2012 with total page 580 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author :
Publisher :
ISBN 13 :
Total Pages : 382 pages
Book Rating : 4.07/5 ( download)

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Download or read book Federal Register written by and published by . This book was released on 2016 with total page 382 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Greene et al.
Publisher : Wolters Kluwer
ISBN 13 : 1454887389
Total Pages : 1680 pages
Book Rating : 4.86/5 ( download)

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Download or read book U.S. Regulation of the International Securities and Derivatives Markets, 12th Edition written by Greene et al. and published by Wolters Kluwer. This book was released on 2017-05-17 with total page 1680 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 2356 pages
Book Rating : 4.58/5 ( download)

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Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1989 with total page 2356 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Angela A. Hung
Publisher : Rand Corporation
ISBN 13 : 0833045016
Total Pages : 151 pages
Book Rating : 4.10/5 ( download)

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Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Author : United States
Publisher :
ISBN 13 :
Total Pages : 1194 pages
Book Rating : 4.12/5 ( download)

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Download or read book United States Statutes at Large written by United States and published by . This book was released on 2010 with total page 1194 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States
Publisher :
ISBN 13 :
Total Pages : 1190 pages
Book Rating : 4.50/5 ( download)

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Download or read book Public Statutes at Large of the United States of America written by United States and published by . This book was released on 2012 with total page 1190 pages. Available in PDF, EPUB and Kindle. Book excerpt: Vols. for 1950-19 contained treaties and international agreements issued by the Secretary of State as United States treaties and other international agreements.

Author : United States. Congress
Publisher :
ISBN 13 :
Total Pages : 904 pages
Book Rating : 4.95/5 ( download)

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Download or read book Dodd-Frank Wall Street Reform and Consumer Protection Act written by United States. Congress and published by . This book was released on 2010 with total page 904 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author :
Publisher : Government Printing Office
ISBN 13 : 9780160861109
Total Pages : 888 pages
Book Rating : 4.01/5 ( download)

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Download or read book Dodd-Frank Wall Street Reform and Consumer Protection Act written by and published by Government Printing Office. This book was released on with total page 888 pages. Available in PDF, EPUB and Kindle. Book excerpt: