Can Agent/Broker Training Keep Up?

To put it simply, says Tony Batman, chairman of First Global Inc., a Dallas-based independent broker dealer, “the entire financial services industry is under siege by the regulators — NASD [formerly the National Association of Securities Dealers], the SEC [U.S. Securities and Exchange Commission], and state securities boards.”

The number of new regulations that have been launched in the past two years is staggering enough, Batman says — 90 by the NASD alone. This works out to a new re

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