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Financial planners, investment advisers and broker-dealers : oversight and access to registration information / Taylor Davis and Graham S. Crawford, editors.
- Format:
- Book
- Series:
- Financial institutions and services.
- Financial institutions and services
- Language:
- English
- Subjects (All):
- Financial planning industry.
- Financial planners.
- Investment advisors.
- Brokers.
- Physical Description:
- 1 online resource (89 pages)
- Place of Publication:
- New York : Novinka, [2013]
- Summary:
- 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.
- Notes:
- Includes bibliographical references and index.
- Description based on print version record.
- ISBN:
- 1-62257-838-4
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