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NASAA Model Rules/Statement of Policy

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NASAA Model Rules/Statement of Policy

Here are things a broker-dealer should not do, according to NASAA’s Dishonest or Unethical Business Practices of Broker-Dealers and Agents (you’ve heard us talk about many of these before) http://www.nasaa.org/wp-content/uploads/2011/07/29-Dishonest_Practices_of_BD_or_Agent.83.pdf :

  • 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 unless you’re ...

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