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NASAA's Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

Dashboard > Violations > NASAA's Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

NASAA's Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares

Below are some things that get Broker-Dealers into hot water 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." Peep the specifics here:

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 contingent deferred sales charges
  • Telling (or implying...

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