![]() ![]() The report comes as Nasaa members are gearing up to conduct a set of in-person targeted exams to evaluate how firms are complying with Reg BI, which could result in citations for brokers engaged in the kind of conduct described in the new report. The survey drew information about sales practices and disclosures from more than 440 broker-dealers, but focused its analysis on 225 firms that Nasaa had examined in a similar study in early 2020, before Reg BI’s compliance deadline.
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