NASAA proposes revisions to broker-dealer conduct rule - Insurance News | InsuranceNewsNet

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November 6, 2024 INN Insider News
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NASAA proposes revisions to broker-dealer conduct rule

The North American Securities Administrators Association (NASAA), an international organization devoted to investor protection, seeks public comments on proposed revisions to its broker-dealer conduct rule.© Shutterstock The proposed revisions are in response to the Securities and Exchange Commission’s Regulation Best Interest (Reg BI) and other securities industry developments…

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