NASD Cracks Down on Gifts

Bassett, Michael
January 2007
Financial & Insurance Meetings;Jan/Feb2007, Vol. 43 Issue 1, p20
Trade Publication
The article discusses issues surrounding a proposal by the U.S. National Association of Securities Dealers and Securities and Exchange Commission regarding gift-giving and entertainment in congresses and conventions. The rules would force companies to come up with specific policies and procedures for excessive gift-giving that might compromise the abilities of brokers to work in the best interests of their clients. INSET: New Rule Puts the Onus on Companies.


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