Jim Hamilton’s World of Securities Regulation: States Propose Adding Senior Provisions to List of Unethical Practices for Broker-Dealers, Agents, IAs and IA Reps. States Propose Adding Senior Provisions to List of Unethical Practices for Broker-Dealers, Agents, IAs and IA Reps. Missouri, Virginia and Washington are among the first states to propose rules prohibiting state-registered broker-dealers, agents, investment advisers and investment adviser representatives from using certain professional designations that state or imply specialized knowledge of the financial needs of senior investors. These rules are being promulgated to combat the abuse the North American Securities Administrators Association (NASAA) is documenting in the senior community …