Coordinated Examinations Identify Top Broker-Dealer Compliance Violations

Sept. 2012


In early September, the North American Securities Administrators Association (“NASAA”)
released their 2012 Broker-Dealer Coordinated Examination Report1 (“Report”) at their annual
conference, which details the results of coordinated examinations by the state securities
regulators. The current top compliance violations throughout the broker-dealer firms in the
United States were highlighted.


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