United States Securities And Exchange Commission Special Review Commit

SEC Docket

• Author(s): United States. Securities and Exchange Commission

• Categories: Securities

• Type: Book
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• Published: 1996
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• Publisher: Unknown

None

SEC Authorizations

• Author(s): United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities

• Type: Book
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• Published: 1978
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• Publisher: Unknown

None

Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce

• Author(s): United States

• Categories: Investments

• Type: Book
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• Published: 2003
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• Publisher: Unknown

None

SEC News Digest

• Author(s): United States. Securities and Exchange Commission

• Categories: Securities

• Type: Book
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• Published: 1974-07
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• Publisher: Unknown

Lists documents available from Public Reference Section, Securities and Exchange Commission.

Study on Investment Advisers and Broker-Dealers

• Author(s): Barry Leonard

• Categories: Business & Economics

• Type: Book
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• Published: 2011-05
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• 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 goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.