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NASAA's Dishonest or Unethical Business Practices of Broker-Dealers and Agent

Dashboard > Violations > NASAA's Dishonest or Unethical Business Practices of Broker-Dealers and Agent

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...

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