Washington - The National Association of Securities Dealers has proposed an increase in the supervision of brokers who have a high number of client complaints.

The new mandates would specifically target securities brokers who have faced three or more complaints, three or more regulatory actions, or at least two internal reviews over a five-year period.

Register or login for access to this item and much more

All Accounting Today content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access