Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored EnterprisesPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
Book Description
Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored EnterprisesPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 580
Book Description
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Author: Angela A. HungPublisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151
Book Description
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.
Regulation of Investment Advisers
Author: Thomas P. LemkePublisher:
ISBN: 9780314832627
Category : Investment advisors
Languages : en
Pages :
Book Description
H.R. 4624, the Investment Adviser Oversight Act of 2012
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 336
Book Description
Fourth Semiannual Report on the Activity, January 2, 2013, 112-2 House Report 112-742
Author: The Market for Retirement Financial Advice
Author: Olivia S. MitchellPublisher: OUP Oxford
ISBN: 0191506729
Category : Business & Economics
Languages : en
Pages : 362
Book Description
The market for retirement financial advice has never been more important and yet more in flux. The long-term shift away from traditional defined benefit pensions toward defined contribution personal accounts requires all of us to be more sophisticated today than ever before. However, the landscape for financial advice is changing all over the world, with new rules and regulations transforming the financial advice profession. This volume explores the market for retirement financial advice, to explain what financial advisors do and how to measure performance and impact. Who are these professionals and what standards must they abide by? How do they make money and what are their incentives? How can one protect clients from bad advice, and what is good advice? Does advice alone effect changes in personal habits? Answering these questions, along with new technology that will decrease the delivery costs of advice, will play a transformative role in helping more households receive the quality financial advice that they need. Accordingly, this volume illuminates the market and regulatory challenges so as to enhance consumer, plan sponsor, and regulator decisions.
Report on the Activity of the Committee on Financial Services for the ... Congress
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category :
Languages : en
Pages : 368
Book Description
Semiannual Report on the Activities of the Committee on Financial Services of the House of Representatives During the ... Congress Pursuant to Clause 1(d) Rule XI of the House of Representatives
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category :
Languages : en
Pages : 280
Book Description
Third Semiannual Report on the Activity
Author: Journal and History of Legislation
Author: United States. Congress. House. Committee on Financial ServicesPublisher:
ISBN:
Category : Banks and banking
Languages : en
Pages : 450
Book Description