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COORDINATED EXAMINATIONS:
BROKER-DEALERS

Based on coordinated examinations of broker-dealers throughout the United States, NASAA identifies top compliance deficiencies and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures. These best practices are designed to support broker-dealers in meeting their compliance challenges and providing better services to their clients.

2018 Broker-Dealer Coordinated Examination Findings and Recommended Best Practices
2016 Broker-Dealer Coordinated Examination Findings and Recommended Best Practices
2012 Broker-Dealer Coordinated Examination Findings and Recommended Best Practices
2010 Broker-Dealer Coordinated Examination Findings and Recommended Best Practices




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