NASDR Takes a Stand on Online Suitability Standards
James A. Tricarico Jr.
(General counsel and executive vice president of Prudential Securities, Inc. in New York, NY.)
35
Abstract
This provides an introduction to the new notice issued by the National Association of Security Dealers Regulation with regard to the applicability of the suitability rule to online investors.
Citation
Tricarico, J.A. (2001), "NASDR Takes a Stand on Online Suitability Standards", Journal of Investment Compliance, Vol. 2 No. 1, pp. 54-56. https://doi.org/10.1108/eb045903
Publisher
:MCB UP Ltd
Copyright © 2001, MCB UP Limited