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NASAA's Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers

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NASAA's Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers

Below are things that a broker-dealer should not do, according to NASAA's Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers. For double the fun, you can check them out for yourself here.

Broker-dealers should not

  • recommend a security that isn't suitable for them considering their investment objective, financial situation and needs, and any other information known by the investment adviser.
  • exercise any discretionary power in...

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