NASD Notice To Members 04-30 Re: Bonds

NASD Notice to Members (NTM) 04-30 provides that as the number of retail customers investing in bonds and bond funds grows, NASD is concerned that many investors may not fully appreciate the risks and costs associated with such products. It is the responsibility of firms to take appropriate steps to ensure that their registered representatives understand and inform their customers about the risks as well as the rewards of the products they offer and recommend. The purpose of this Notice is to remind firms that sell bonds and bond funds of their sales practice obligations in connection with such products.

To read the full notice click here.

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