Brokers and Advisers – What’s in a Name?

Authors

Barbara Black

Keywords

Securities markets, pensions, social security, brokerage firms, fee-based accounts, advertisements, Investment Advisers Act, SEC, SEA, IAA, financial planners, broker-dealers, broker-dealer exclusion, Public Utility Holding Company Act of 1935, Investment Company Act, policy reasons for expanding broker-dealer exclusion, Committee on Compensation Practices, Abuses of Customers, NYSE, NASD, NYSE Rule 405A, SEC No-Action Letter, Final Rule

Recommended Citation

Barbara Black, Brokers and Advisers – What’s in a Name?, 11 Fordham J. Corp. & Fin. L. 31 (2005).
Available at: https://ir.lawnet.fordham.edu/jcfl/vol11/iss1/2