NASAA's Dishonest or Unethical Business Practices of Broker-Dealers and Agent
Below, you'll find lists for things that broker-dealers and agents should not do, according to the NASAA's Dishonest or Unethical Business Practices of Broker-Dealers and Agents. Many of these will look familiar, but you can always check them on the NASAA's site here.
Broker-dealers should not
delay the delivery of securities that clients have bought or delay the pay out of a request from a cash balance. (They have T+3 to settle with the client, but really, what's the point of doing this...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!