Social Studies, 24.12.2021 09:20 leighsa
NASAA's Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents states that. It is unethical for an agent registered with a broker-dealer to:
a. personally lend money to the broker-dealer firm with which the agent is registered.
b. personally lend money to a bank that is a client of the broker-dealer firm with which the agent is registered.
c. split commissions with an agent registered with a broker-dealer that is under common control.
d. borrow money from a mortgage broker who is a client of the agent.
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