Download or read book Investment Adviser Industry Reform written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1992 with total page 376 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investment Adviser Industry Reform written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1992 with total page 392 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investment Adviser Industry Reform written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1993 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investment Adviser Industry Reform Hearing Serial No 103 16 Committee on Energy and Commerce U S House of Representatives One Hundred Third Congress First Session written by and published by . This book was released on with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investor and Industry Perspectives on Investment Advisers and Broker dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008 with total page 234 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990s have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND to conduct this study to examine the professionals' current business practices and whether investors understand differences between and relationships among them. The report describes a heterogeneous industry, with firms taking many different forms and offering a multitude of services and products and with investors failing to distinguish broker-dealers and investment advisers along regulatory lines. Despite this, investors express high levels of satisfaction with the services they receive from their own financial service providers. This satisfaction was much more frequently reported to arise from the personal attention the investor receives than from the actual financial returns arising from this relationship.

Download or read book Investment Adviser sic Industry Reform written by and published by . This book was released on 19?? with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investment Adviser Industry Reform written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance and published by . This book was released on 1993 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Trust and the Investment Adviser Industry written by J Koebel and published by . This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Congress' passage of the Wall Street Reform and Consumer Protection Act was, among other things, supposed to be an effort to reform the financial services regulatory structure, including that of the investment adviser industry. However, by preserving the SEC's status as sole regulator of investment advisers, the Act fails to adequately address the importance of investor confidence and instead threatens to preserve the status quo in an industry that has time and again betrayed investors. The SEC's recent missteps in the midst of the financial crisis necessitate organizational change in the regulation of investment advisers. Just as the SEC was born out of the market crash of 1929, this crisis of confidence calls for a response that actively culls a perception of a trustworthy and accountable infrastructure. By examining the role of trust in economic activity, the critical impact of self-regulatory organizations on investors' trust in the securities industry becomes apparent: FINRA's oversight authority must be extended to encompass the investment adviser industry so as to restore trust in the securities regulatory infrastructure, lest investors fail to regain the confidence needed for long-term financial recovery.

Download or read book Investor and Industry Perspectives on Investment Advisers and Broker Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; 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.

Download or read book Investment Advisers written by United States. General Accounting Office and published by . This book was released on 1990 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Capital Markets Regulatory Reform written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2010 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Industry Perspectives on the Obama Administration s Financial Regulatory Reform Proposals written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2009 with total page 212 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Stay the Course written by John C. Bogle and published by John Wiley & Sons. This book was released on 2018-12-06 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt: A journey through the Index Revolution from the man who started it all Stay the Course is the story the Vanguard Group as told by its founder, legendary investor John C. Bogle. This engrossing book traces the history of Vanguard—the largest mutual fund organization on earth. Offering the world’s first index mutual fund in 1976, John Bogle led Vanguard from a $1.4 billion firm with a staff of 28 to a global company of 16,000 employees and with more than $5 trillion in assets under management. An engaging blend of company history, investment perspective, and personal memoir, this book provides a fascinating look into the mind of an extraordinary man and the company he created. John Bogle continues to be an inspiring and trusted figure to millions of individual investors the world over. His creative innovation, personal integrity, and stubborn determination infuse every aspect of the company he founded. This accessible and engaging book will help you: Explore the history of some of Vanguard’s most important mutual funds, including First Index Investment Trust, Wellington Fund, and Windsor Fund Understand how the Vanguard Group gave rise to the Index Revolution and transformed the lives of millions of individual investors Gain insight on John Bogle’s views on values such as perseverance, caring, commitment, integrity, and fairness Investigate a wide range of investing topics through the lens of one of the most prominent figures in the history of modern finance The Vanguard Group and John Bogle are inextricably linked—it would be impossible to tell one story without the other. Stay the Course: The Story of Vanguard and the Index Revolution weaves these stories together taking you on a journey through the history of one revolutionary company and one remarkable man. Investors, wealth managers, financial advisors, business leaders, and those who enjoy a good story, will find this book as informative and unique as its author.

Download or read book Mutual funds assessment of regulatory reforms to improve the management and sale of mutual funds written by and published by DIANE Publishing. This book was released on with total page 32 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investment adviser law reform written by New Zealand. Securities Commission and published by . This book was released on 2002 with total page 36 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Investment Advisers Financial Planners and Customer Protection written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1986 with total page 388 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book 50 States of Gray written by Arun Muralidhar and published by . This book was released on 2018-05 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Another retirement crisis is looming as one-third of private-sector, typically poor and unsophisticated workers, probably have little to no pension security. The fifty states have decided to enact reforms, but they are unwilling to assume any liability. Effective reform should ensure a target, guaranteed, inflation/standard-of-living-indexed retirement income through death. The book proposes a four-step reform process that articulates roles, responsibilities, and sequencing of steps to effectively address the looming retirement crisis. Current reform models potentially expose participants to costly, risky, error-prone, and illiquid alternatives, which could transfer wealth from poor citizens to rich asset managers and from short-lived poor and minority citizens to rich and majority populations. Retirement planning presents a wealth of complex challenges associated with saving, investing, and decumulation. To address these challenges, Muralidhar provides an innovative Flex MMM reform model that reflects the goals of numerous stakeholders, including, states, employers, employees, asset managers, and regulators, by showing steps the federal and state governments could take to alleviate the guesswork and insecurity involved in the retirement saving process. Muralidhar also demonstrates that the lynchpin for retirement security globally is an innovative new retirement bond (called SeLFIES ) he has jointly developed with Robert C. Merton that governments could easily issue to achieve multiple goals.