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Topic: Business
Number of pages / Number of words: 2 / 543
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This technology raises some more issues that have to be regulated which is when the North American Securities Administrators Association (NASAA) steps in( ) . They have the rules and regulations for the broker-dealers. The broker-dealer section focuses on not just registration matters but also the qualification requirements for broker-dealers and agents...


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This section also includes applicability of suitability determinations, required disclosure, and broker-dealer capacity issues which are monitored (North American Securities Administrators Association, Inc., 2007).

References

Brazosport College. (2003, November 14). Tasks of Financial Intermediaries retrieved 08/22/07 from www...


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