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| Topic: |
Business
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| 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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