In concluding its report, NASAA recommended ten purported best compliance practices to address various concerns.
FORBES: Top Broker Dealer Compliance Issues Disclosed By State Securities Regulators
2.
Let me count the ways, starting with state securities regulators as represented by the North American Securities Administrators Association ( NASAA).
FORBES: JOBS Act Will Open Door to Investment Scams
3.
After finding the number of my state's securities department, at www.nasaa.org, I called and requested a check of names through the Central Registration Depository.