How Your Program Can Avoid Red Flags
What types of incentive meetings are acceptable under the rules? For many planners whose companies are affected by the NASD rules on incentive meetings, the path to compliance isn't exactly clear-cut. We ran a few examples by Larry Kosciulek, associate director of NASD, to get his take on whether they'd pass muster. A U.K.-based insurance company with offices and independent salespeople in the U.S. wants to hold a training meeting near its London offices for U.S. ...
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