<img height="1" width="1" style="display:none;" alt="" src="https://dc.ads.linkedin.com/collect/?pid=319290&amp;fmt=gif">
Member Login
2012

Advocacy in action blog

2 min read

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

Featured