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RAND Study's Impact On Broker-Dealers, Advisers

Law360 (February 12, 2008, 12:00 AM EST) -- On Jan. 3, 2008, the Securities and Exchange Commission published the text of a report on investment advisers and broker-dealers prepared by the RAND Corporation (RAND).[i]

The RAND study was intended to provide the SEC with factual information about the current state of the investment advisory and brokerage industries, with a primary focus on the services provided to, and the way those services are perceived by, individual investors.

The SEC requested the study to assist it in evaluating the current legal and regulatory environment surrounding investment...
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