Tag: CRD

Hire Standards

Hire Standards

Regulators Call For Increased Scrutiny of Brokers with Disclosures By Mark J. Astarita, Esq.   WHETHER JUSTIFIED OR NOT, the hiring and continued employment of brokers with disclosable events on […]

Too Much Information

Too Much Information

┬áThe NASD May Soon Protect Investors at Broker’s Expense By Mark J. Astarita, Esq. This time the National Association of Securities Dealers (NASD) has gone too far. On November 27, […]