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In theory, financial professionals are relatively distinct: A broker conducts transactions in securities on behalf of others; a dealer buys and sells securities for his or her own accounts; and an investment adviser provides advice to others regarding securities. Broker-dealers and investment advisers are subject to different regulatory structures. But trends in the financial services market since the early 1990's have blurred the boundaries between them. Regulatory reform requires a clearer understanding of the industry's complexities. The U.S. Securities and Exchange Commission asked RAND

Civil defense -- United States. --- Intelligence service -- United States. --- National security -- United States. --- Terrorism -- Government policy -- United States. --- Terrorism -- United States -- Prevention. --- Intelligence service --- Terrorism --- Prevention --- Government policy --- Prevention. --- Investment advisors --- Stockbrokers --- Law - U.S. - General --- Securities --- Securities industry --- Law and legislation --- Legal status, laws, etc.