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NASAA Model Rule: Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers

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NASAA Model Rule: Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers

Here are things a broker-dealer should not do, according to NASAA’s Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers http://www.nasaa.org/wp-content/uploads/2011/07/6-IAUnethical091105.pdf :

  • 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 (Grandpa Joe, listen to me, are you listening? Small-cap A...

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