Investment Adviser Regulation in a Nutshell

Investment Adviser Regulation in a Nutshell
Author :
Publisher : West Academic Publishing
Total Pages : 0
Release :
ISBN-10 : 0314172653
ISBN-13 : 9780314172655
Rating : 4/5 (53 Downloads)

Book Synopsis Investment Adviser Regulation in a Nutshell by : Jeffrey J. Haas

Download or read book Investment Adviser Regulation in a Nutshell written by Jeffrey J. Haas and published by West Academic Publishing. This book was released on 2008 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Softbound - New, softbound print book.


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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 investmen