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Security Research: Additional Actions Could Improve Regulatory Oversight of Analysis Conflicts of Interest

Security Research: Additional Actions Could Improve Regulatory Oversight of Analysis Conflicts of Interest( )
Author: Government Accountability Office,
ISBN:978-1-4922-8047-7
Publication Date:Sep 2013
Publisher:CreateSpace Independent Publishing Platform
Book Format:Paperback
List Price:USD $15.99
Book Description:

Broker-dealers may provide a range of financial services to clients, including corporations, financial institutions, governments, and individuals. A full-service broker-dealer (or a related subsidiary or affiliate) may employ (1) investment bankers to assist clients with raising capital through underwritings and private placements of equity and debt securities and by offering advisory services on mergers, acquisitions, and restructurings; (2) investment advisers who provide investment...
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Book Details
Pages:70
Physical Dimensions (W X L X H):8.5 x 11 x 0.16 Inches
Book Weight:0.52 Pounds

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