In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen

Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules curren