Study on Investment Advisers and Broker-Dealers

Study on Investment Advisers and Broker-Dealers

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Retail investors seek guidance from broker-dealers and investment advisers (BDaIA) to manage their invest. and to meet their own and their familiesAi financial goals. BDaIA are regulated extensively, but the regulatory regimes differ, and BDaIA 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.The rule does not require advisers to deliver brochures to certain advisory clients receiving only impersonal investment ... or to clients that are investment companies registered under the Investment Company Act of 1940 (a€œInvestment Company ... 76 See Advisers Act Rule 204-3(b) and Instruction 2 of Part 2A of Form ADV.

Title:Study on Investment Advisers and Broker-Dealers
Author:Barry Leonard
Publisher:DIANE Publishing - 2011-05


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