Investor and industry perspectives on investment advisers and broker-dealers /
Title By: Hung, Angela A
Material type:
BookSeries: Technical report (Rand Corporation ;Publisher: Santa Monica, CA : Rand, c2008.Description: xxiii, 204 p. : ill. (some col ; 28 cm.ISBN: 9780833044037 (pbk. : alk. paper); 0833044036 (pbk. : alk. paper)Subject(s): Securities -- United States | Securities industry -- Law and legislation -- United States | Investment advisors -- Legal status, laws, etc. -- United States | Stockbrokers -- Legal status, laws, etc. -- United StatesDDC classification: 346.73/0922 Online resources: Location Map
| Item type | Home library | Call number | Status | Date due | Barcode | Item holds |
|---|---|---|---|---|---|---|
| REGULAR | University of Wollongong in Dubai Main Collection | 346.730922 HU IN (Browse shelf) | Available | T0039892 |
Total holds: 0
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| 346.7307 MA BU Business law : | 346.7307 MA SM Smith and Roberson's business law / | 346.73082 DO DD Dodd-Frank Wall Street reform and consumer protection act : | 346.730922 HU IN Investor and industry perspectives on investment advisers and broker-dealers / | 346.94 AU FO Ford's principles of corporations law / | 346.94004 DA EQ Equity and trusts in principle / | 346.9402 BU CO Contract law / |
"RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law, and Governance.".
Includes bibliographical references (p. 199-204).
Regulatory and legal background -- View of the industry from published sources -- Insights from industry data -- Documentation and information provided by firms -- Investors' level of understanding.