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Volume 2, Issue 1
1 February 2001
Journal of Investment Compliance Cover Image for Volume 2, Issue 1
Review Article| February 01 2001

NASDR Takes a Stand on Online Suitability Standards

James A. Tricarico, Jr.
James A. Tricarico, Jr.
General counsel and executive vice president of Prudential Securities, Inc. in New York, NY.
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Author & Article Information
Publisher: Emerald Publishing
Online ISSN: 1758-7476
Print ISSN: 1528-5812
© MCB UP Limited
2001
Journal of Investment Compliance (2001) 2 (1): 54–56.
https://doi.org/10.1108/eb045903

This provides an introduction to the new notice issued by the National Association of Security Dealers Regulation with regard to the applicability of the suitability rule to online investors.

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© MCB UP Limited
2001
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