NASD Regulations: Get Educated

Noncompliance with the meeting-related regulations of the National Association of Securities Dealers could land insurance companies on the hot seat. That was the word at the Northeast chapter meeting of the Insurance Conference Planners Association, held at The Sagamore, Bolton Landing, N.Y., in early January.

“We look at every meeting request that comes in, particularly as we acquire small companies that aren't used to this compliance,” said one financial services planner.

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