Stockbroker, Compliance, Legal, and Regulatory Jobs
NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and Click POST A JOB and your position will be promptly listed.
Only $50 for 30 days!
For 20 years, one registered person timely and fully disclosed her outside business activity to her employer FINRA member firm. Inexplicably, a few years ago, she apparently embarked upon another outside business but failed to notify her firm -- that proved a costly lapse. Today's BrokeAndBroker.com Blog examines the ensuing regulatory settlement involving her failed disclosure. READ