Nasd 05-50
Dec 21, 2005 3:33 am
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ss DocName=NASDW_014820
I don't think I want my dealer and the cost of approval as they go down this road. Sounds like life insurance is next to get the NASD grab for "supervision" and "suitability" taxes.
Are there dealers who aren't falling in this line? Perhaps a non-firm "private securities" process? What is the word on the street?
Very independent minded.
Source URL:https://www.wealthmanagement.com/forums/whats-firms/nasd-05-50