Accurate, Focused Research on Law, Technology and Knowledge Discovery Since 2002

SEC Publishes Text of RAND Report on Investment Adviser, Broker-Dealer Industries

“The Securities and Exchange Commission has received and posted on its Web site the text of the RAND Corporation’s final report on practices in the investment adviser and broker-dealer industries…RAND produced the report under contract with the Securities and Exchange Commission. The report is the product of more than a year of empirical study and analysis…”

  • Technical Report, Prepublication Copy, December 2007 – Investor and Industry Perspectives on Investment Advisers and Broker-Dealers, Angela Hung, Noreen Clancy, Jeff Dominitz, Eric Talley, Claude Berrebi, Farrukh Suvankulov
  • Sorry, comments are closed for this post.