Work2008

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Angela Hung · Noreen Clancy · Jeff Dominitz · Eric L. Talley · Claude Berrebi · Farrukh Suvankulov

49 citations0/0 files stored

No readable copy stored yet — this record is metadata only.

No open-access location is known for this record yet.

Literature note Cite in a project Citation map

Financial Literacy, Pension, Retirement Analysis Financial Markets and Investment Strategies Securities Regulation and Market Practices

Abstract

In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; 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.

Paper brief

Loading…

Cite this work

Citation unavailable for this work.

BibTeX RIS CSL-JSON

No public copy is stored for this record, so only the metadata is cited.

Citations in this library

Citation map →

Stored only when both papers are in the corpus — 49 citations exist upstream.

References

2009Assessing the Costs and Benefits of Brokers in the Mutual Fund Industry 2004Online service quality dimensions and their relationships with satisfaction 2003Incentive Fees and Mutual Funds 2007None of the Above 2003Risk Taking and Optimal Contracts for Money Managers 1992Dual Trading in Futures Markets 2002Fee Speech: Signaling, Risk-Sharing, and the Impact of Fee Structures on Investor Welfare 2000Fund Advisor Compensation in Closed‐End Funds

Cited by

2018Destabilizing Financial Advice: Evidence from Pension Fund Reallocations 2018Is Proprietary Trading Detrimental to Retail Investors?2019Fiduciary Duty and the Market for Financial Advice 2010Financial Advice: An Improvement for Worse?2013Drift and Adjustment in Organizational Rule Compliance: Explaining the “Regulatory Pendulum” in Financial Markets 2009Reforming the Taxation and Regulation of Mutual Funds: A Comparative Legal and Economic Analysis

Explore the map →

Papers that cite the same references — the relational fallback while embeddings are still backfilling.

Imported from OpenAlex (CC0) — nothing here is generated.