Opening brokers' records

Hannon, Kerry; Wiener, Leonard
July 1993
U.S. News & World Report;7/5/93, Vol. 115 Issue 1, p59
States that investors can now easily scrutinize the backgrounds of potential brokers and their firms. Expansion of amount and type of information available to investors about brokers by the National Association of Securities Dealers; New Securities and Exchange Commission (SEC) rulings on mutual funds.


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