Consumer Perceptions of Financial Advisory Titles and Implications for Title Regulation

Derek Tharp
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Derek Tharp: Mercury Publication

No 9752, Working Papers from George Mason University, Mercatus Center

Abstract: This study will examine retail consumer perceptions of the titles commonly used by representatives of broker-dealers and registered investment advisers. Specifically, the potential efficacy of the SEC’s proposed restriction on the use of the terms “adviso

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Date: 2019-08-27
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