Tagged with "NASAA"

Industry Advocates Criticize NASAA's Proposed Amendments to Business Practices Rule as Overreach

Posted on December 21st, 2023 at 2:30 PM

The North American Securities Administrators Association (NASAA) is facing criticism from the Institute for Portfolio Alternatives (IPA) and the Financial Services Institute (FSI) regarding its proposed updates to the "Dishonest or Unethical Business Practices of Broker-Dealers and Agents”, commonly known as the "Business Practices Rule."

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NASAA Members Approve Model Rule Addressing Unpaid Client Arbitration Awards

Posted on June 7th, 2022 at 11:43 AM
NASAA Members Approve Model Rule Addressing Unpaid Client Arbitration Awards

The North American Securities Administrators Association (NASAA) and its members have voted to adopt a model rule addressing financial advisory firms that fail to pay customer arbitration awards.

 
 

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