The Enforcers: NASD Puts Planners on Alert

THE CRACKDOWN on financial services sales practices over the past several years by NASD (formerly known as the National Association of Securities Dealers) not only led to enforcement actions and fines, but also serves as a cautionary tale for firms wondering whether or not some of their meetings pass regulatory muster.

Anecdotal evidence suggests that NASD is stepping up enforcement. On April 20, The Wall Street Journal reported that NASD recently took disciplinary measu

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