Financial Planners, Investment Advisers & Broker-Dealers - Oversight & Access to Registration Information (Paperback)

Consumers are increasingly turning for help to financial planners--individuals who help clients meet their financial goals by providing assistance with such things as selecting investments and insurance products, and managing tax and estate planning. This book examines how financial planners, investment advisers and broker-dealers are regulated and overseen at the federal and state levels; what is known about the effectiveness of this regulation; and the advantages and disadvantages of alternative regulatory approaches.

General

Imprint:	nova science publishers
Country of origin:	United States
Release date:	March 2013
First published:	March 2013
Editors:	Taylor Davis • Graham S Crawford
Dimensions:	230 x 155 x 5mm (L x W x T)
Format:	Paperback
Pages:	87
ISBN-13:	978-1-62257-837-5
Categories:	Books > Business & Economics > Finance & accounting > Finance > Investment & securities > General Books > Money & Finance > Investment & securities > General
LSN:	1-62257-837-6
Barcode:	9781622578375

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