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NAIFA Opposes NASAA Proposal That Would Conflict With Reg BI

By NAIFA on 12/7/23 10:49 AM

Proposed changes to the North American Securities Administrators Association's (NASAA's) Model Rule on Dishonest and Unethical Business Practices of Broker-Dealers and Agents would conflict with existing, effective consumer-protection regulations and cause unintended harm to investors. NAIFA urges NASAA to reconsider the proposed revisions. 

Topics: Standard of Care & Consumer Protection Interstate Advocacy DOL NAIC NCOIL NASAA