Financial services planners shouldn't expect NASD regulatory enforcement actions to go away. However, the scrutiny pertaining to gifts, travel, and entertainment guidelines may have peaked, according to Maribel V.Gerstner, associate vice president and chief compliance officer, Allstate Distributors & ALFS Inc., Northbrook, Ill. NASD (the governing body for securities firms) was quite active last year, with the biggest enforcement action involving Fidelity brokerage units that were fined ...

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