10 Years Ago in Registered Rep

It's d vu all over again. Concerns about sales of mutual funds prompted the NASD to issue a warning to broker/dealers, reminding them that reps must follow suitability rules and disclose material information to fund buyers. RR, June 1994

Jun 01, 2004

It's déjà vu all over again. Concerns about sales of mutual funds prompted the NASD to issue a warning to broker/dealers, reminding them that reps must follow suitability rules and disclose material information to fund buyers. — RR, June 1994

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