THE CRACKDOWN on financial services sales practices over the past several years by NASD (formerly known as the National Association of Securities Dealers) not only led to enforcement actions and fines, but also serves as a cautionary tale for firms wondering whether or not some of their meetings pass regulatory muster. Anecdotal evidence suggests that NASD is stepping up enforcement. On April 20, The Wall Street Journal reported that NASD recently took disciplinary measures against 10 ...

Register for Complete Access (Valid Email Required)

By registering on MeetingsNet now, you'll not only gain access to Printer-friendly, you'll get exclusive access to a large archive of premium content.

Already registered? here.