NASAA exams unearth fewer violations but still failures with registration and recordkeeping

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients. By Anand Gupta
https://www.financial-planning.com/list/nasaa-finds-firms-violating-registration-and-recordkeeping-rules?utm_source=dlvr.it&utm_medium=blogger