Regulators gave bank brokerage representatives an overview of some recent initiatives at a meeting here this week.

Executives from the National Association of Securities Dealers and the Securities and Exchange Commission spoke Monday to more than 100 bank, mutual fund, and third-party marketing executives attending the Bank Securities Association's annual convention.

Subscribe Now

Access to authoritative analysis and perspective and our data-driven report series.

14-Day Free Trial

No credit card required. Complete access to articles, breaking news and industry data.