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SIFMA: NASAA’s proposed revisions to its BD model rule conflict with Reg BI

Julie DiMauro

4 min read
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SIFMA submits a sternly worded comment letter to NASAA on its proposed revisions to its model rule related to broker-dealer business conduct.

The Securities Industry and Financial Markets Authority (SIFMA) submitted a comment letter on Friday to the North American Securities Administrators Association, Inc. (NASAA) on proposed revisions to NASAA’s model rule related to business practices of broker-dealers.

The proposed revisions were submitted to the public for comment in early September,

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