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Investment Advisers and Broker-Dealers

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Publication Date: January 2008

Publisher(s): RAND Corporation

Author(s): Angela A. Hung; Noreen Clancy; Jeff Dominitz; Eric Talley; Claude Berrebi; Farrukh Suvankulov


Type: Brief


This research brief describes broker-dealers and investment advisers — their numbers, size, assets, clients, services, and affiliations — and examines whether individual investors understand the differences between them.