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NASAA Statement of Policy: Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

Dashboard > Violations > NASAA Statement of Policy: Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

NASAA Statement of Policy: Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

Here are things that get Broker-Dealers into aqua caliente in connection with investment company shares, according to NASAA’s “Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares” http://www.nasaa.org/wp-content/uploads/2011/07/35-Dishonest_Practices.pdf :

Sales Load Commissions

  • Conveniently forgetting to mention to the client ALL of the sales charges associated with buying the investment company shares, like asset-based and ...

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