New NASAA leader wants Reg BI to give investors ‘best bang for buck’
Andrew Hartnett, who's deputy administrator for securities in Iowa's Insurance Division, has put assessing the broker conduct standard at the top of his priority list at NASAA.
A leading state securities regulator wants to make sure the broker conduct standard is protecting investors from conflicts of interest that erode their returns, but preliminary results from a survey by his organization suggest there’s still a long way to go.
When Andrew Hartnett became presiden
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