An irreverent Wall Street Blog
by Bill Singer

Registered Rep Magazine's

October 22, 2010

  

Street Legal: The Message And The Medium

The Securities and Exchange Commission recently tackled some thorny issues involving independent contractors, their use of electronic business communications, and their broker-dealers' responsibility to archive and subsequently produce such communications.

READ BILL SINGER'S ANALYSIS OF THIS IMPORTANT CASE AT

http://registeredrep.com/advisorland/compliance/finance_message_medium/index.html/

============================================

Don't Forget to Visit:

Wall Street's Leading Online Community:

http://BrokeAndBroker.com

 

http://BrokeAndBroker.com/index.php

 

The Comprehensive Online Wall Street Regulatory and Legal Website:

http://RRBDlaw.com

Special Event this Thursday!

(No, not a commemoration of 1929's "Black Monday" )

Mark your calendar for October 28, 2010.

Bill Singer unleashes an unusual BrokeAndBroker.com Blog
upon an unsuspecting world.

You'll laugh.
You'll cry.
Don't Miss It.

Permalink

Search BrokeAndBroker

Related Topics

Previous Entries

Tag Cloud

Bill Singer BrokeAndBroker FINRA Arbitration AWC SEC BrokeAndBroker.com Expungement BrokerAndBroker Employment Guest Blog Guest Blogger Wells Fargo Street Sweeper Bill SInger Jobs OBA Aegis Frumento U5 Fraud Promissory Note U4 Email Merrill Lynch Morgan Stanley UBS Defamation EFL Elderly Wire Fraud CRD Statutory Disqualification InSecurities Suitability FBI Forbes PST OHO BrokeAndBroker Ponzi Whistleblower Rule 3270 NAC ALJ Citigroup DOJ Borrowing Supervision BrokerCheck Form U4 IRS OIP Expenses Supreme Court SDNY Willful Outside Business Activity Bank Felony Ameriprise Wrongful Termination Pro Se Securities Industry Commentator WSP Rule 2080 Wachovia Rule 8210 IRA Discretion RIA Dodd Frank Mail Fraud Business Expenses Insider Trading Discovery Form U5 Raymond James Wife Rule 2010 NASD Husband CCO Rule 1122 Conversion JP Morgan Punitive Damages Forgery Bar Checks Bankruptcy Tax Rule 3240 LPL Trump Willfulness Estate Settlement Edward Jones Employment Tuesday Outside Business Activities Madoff NYSE Credit Card TRO 2Cir Rule 3040 Stephen Kohn Margin Commissions Schwab Wall Street Frumento Injunction Small Firm Insurance Beneficiary Annuities Private Securities Transaction Facebook Impersonation Corrective Action Statement Options Rule 3280 Bank of America Antitrust Power of Attorney Real Estate Indictment Promissory Notes Tax Liens arbitration ETF Tax Lien Exam Rule 12206 Spouse CFTC SRO ATM Mortgage FAA Test Street Legal Offer of Settlement Due Diligence Complaint COVID Stay Remand Trust OTR Misdemeanor Trustee VA email Case In Point Rule 2510 Customer Goldman Sachs Sanctions ACQ Away Account Signature Crypto Annuity Wire Barclays NASDAQ Spouses Appeal ARS Schapiro Loan Lien Motion to Dismiss POA OWB Initial Decision Eligibility Rule Securities Fraud Employee Forgivable Loan Blockchain Money Laundering Unauthorized Discretion NSF T&P Retaliation Burris Rule 4511 9Cir Rule 4530 Explained Decision Liens PCAOB Deutsche Bank Conspiracy Cease And Desist Fidelity JPMorgan DCCir NASAA Jurisdiction HFT Great Recession Solicitation Signatures RBC Bonus Reg SP Flash Crash Discrimination Mandatory Arbitration Dissent Retirement TD Ameritrade Compliance E*Trade Fiduciary Unfair Competition Rule 12200 Failure to Supervise Reimbursement LOA Continuing Education Vacatur AML Hacking Class Action Severance Chase Willfully Scottrade Disgorgement Divorce Personal Expenses Huffington Post Undisclosed Settlement Unsuitability Credit Cards Broker Protocol Rule 3010 Deceased Bitcoin Lehman Brothers Customer Complaint Board Unauthorized Trading Bharara Registered Rep Magazine Identity Theft Gallagher expungement Variable Annuity Malware MSSB RRBDLAW.com Cryptocurrency 10Cir Rule 3050 Will Hacker REIT brokeandbroker Motion to Vacate Disclosure Wedbush Loans Away Accounts Lucia Internet Sexist Sexism Variable Annuities Wey Forex Spoofing Social Media Stifel Apple Website Manifest Disregard IAR Coronavirus BD CRS Examination FINRA Arbitration Stockbrokers Self Regulation Letter of Authorization Widow employment Audit Annual Compliance Questionnaire Commission BOP Second Circuit 2nd Circuit Postponement Credit Suisse Elder Abuse Solicited Indemnification Private Placement jobs Confidential Information PNC Prison RMBS Statute of Limitations Net Capital Rule 2111 BrokeAndBroker Bill Singer Zipper Brummer Rule 3110 Crowdfunding Registration LIBOR Trading Platform Kokesh FINOP Rule 12805 Private Securities Transactions SDFL Lehman MC-400 Due Process PIABA Bonds Unsolicited BrokeAndBroker.com Blog Imposter Telephone Hedge Fund IC3 Dakota Securities MetLife Emails WSPs RRBDlaw.com BrokeandBroker Hilton Weiner Debit Card Judgments Charles Schwab Bureau of Prisons bill singer Plea ADA Time And Price Sanction Guidelines Rule 2150 Non-Solicitation Public Interest Unjust Enrichment Fees TOD Arbitraiton Newman Morgan Keegan Waiver Cheating Marijuana FOREX Bear Stearns China Private Placements Charge Covid Rule 4513 Regulation SP Whistleblowers OSHA Employment Agreement Diversity Gold IPO Botkin Racism WB-APP Protocol Confirm Stifel Nicolaus Whistleblowing Suspension Auction Rate Securities DOL Concentration Embezzlement NYAG Mother RR Reg S-P Tortious Interference FINRA Board FNMA Rule 13200 Small Firm Governor Board of Governors Check Kiting Mutual Funds Rule 2081 Piwowar JOBS Act Elder Fraud CPA Motion to Confirm Oppenheimer SunTrust Lawyer Knight Rakoff JPM Compensation Joshua Brown Rule 9552 CE Puerto Rico Counterclaim Obstruction of Justice Testimony 3Cir CNBC Leveraged ETF Testing Customer Information Day Trading Membership Continuance AAA Hurry Affinity Fraud Aleynikov Bank Fraud Cannabis Breach of Contract Khuzami TheBlot 9/11 Medicare Confidential Federal Reserve Wire Transfer MF Global Inability to Pay Article V Ketchum Dementia Raiding Circuit Court Statutory Disqualification Committee Bloomberg Non Solicitation 11Cir Woody Allen ING VIX Information 4Cir Executor Lawyers Unregistered Puts Affiliate Appointments Clause Check SAC Irreparable Harm Charity Stanford Shah Gilani Sales Assistant NoCA Banc of America Confidentiality Exhaustion of Administrative Remedies Reg D Rule 12504 Series 7 Taxes Restaurant TSSB EIA USERRA Funds Broke And Broker PN High Frequency Trading Termination Rosenthal Recruiting CEO Trade Secrets Pennystock Wine Rule 13805 Morgan Stanely Margin Call Pennystocks Robert Cook Phishing Feigenbaum OIG Immunity Passcode Churning Bandimere Conflict Unsuitable Rule 12904 Standing securities industry commentator Biden Penson Probate Nietzsche 1Cir Finra Hester Peirce 10b-5 Medical Condition Star Wars Customers IM Saad Service fraud Laptop Failure To Supervise Slander Corzine Accounting Moon Rule 2210 Motion to Compel Deferred Compensation EDNY Marine Corps White Ride the Thunder Vietnam Marines supervision Amazon Relevant Disciplinary History Honorarium Disability Hugh Hewitt Libel Form ADV Eligibility Sexual Harassment Side Bar 6Cir Chase Investment Services Outside Account Joint Account Finder\'s Fee Talman Harris Teleconference Subpoena Absolute Immunity money laundering Bid Rigging CDO Mutual Fund NPR Marketplace Argentina Morgan Stanley Smith Barney Unauthorized Practice of Law Self Regulatory Organization Rule 12212 Corruption Statement of Corrective Action Written Supervisory Procedures Third Party Vendor Wanger Research Test Center Commodities Fraud signature Attorneys Fees NDCA Obstruction AXA PAQ Negligence Rule 3310 HSBC ACH Hearing Beneficiaries OCIE Death 401k Ethereum Smith Barney Vault Layering FINRA AWC Whitman Aguilar Yesenia Guitron Sarbanes Oxley Government Accountability Project Administrative Remedies Guitron Johnny Burris Rule 3030 Poteroba Kon BrokeAndBroke Online Parking ICO 6th Circuit Lincoln Financial McDuff Sharemaster Casino Chief Compliance Officer Consent Order TCR Constitution Stipulated Award Michael King Michael King Associates David Sobel Life Insurance LLC Investment Adviser Rule 1031 Trader Cold Spring Advisory Group Obama Female Christian Stanley Crime Reverse Life Insurance Rule 2370 Puerto Rico Bonds Jennifer Tarr Stockbroker elderly Robinhood Permanent Bar Default Rory Flynn Rule 9554 Scottsdale Revocation SD Capital Gains Selling Away Fine Non Solicit Arbitration Scholander Acosta Arrest Data Settling Away First Amendment David Lerner Civil Rights Regulation wrongful termination Self Reporting Verbal Discretion Reform BrokerAndBroker.com Meals Tax Fraud CGMI Enforcement Commodities Son Oral Discretion RICO Excessive Trading CMA ESOP Expert Witness Withdrawals State Actor Commissioner Stein Blank Forms Money Market Client Information RRBDlaw Wires Taft Correctional Institution Newport Coast Securities Do Not Call DNJ Moore Netschi FOCUS Daughter BATS Attorneys\' Fees Restitution Control Person Fifth Amendment Dell 401(k) Chiasson Rule 9216 FAP NYG Capital BrokeAndbroker Conflict of Interest Trading FINRA Small Firm NRF Gensler Florida 17a-5 Pension Johnson Pruco Sexual Discrimination Fowler FCPA Guest Bloggers mail fraud Respondeat Superior Inmate Disciplinary History Extortion Counterfeit Equity Indexed Annuities Department of Justice Rationale Resignation Risk Preliminary Injunction Outside Counsel For Cause FMLA Inside Information Texting Privilege YouTube Over Concentration Regulation S-P Elder Law Escrow Outside Accounts SIFMA 40 Act Spoliation Electronic Communications Elles Hospital Fee CD Red Flags Congress WaMu NY Life SP Series 79 Investor Alert Motion wire fraud Timban Fines Password TIC Relevant FCI Fiduciary Duty OWWP Microcap FCI Beaumont Kiting S&P Rule 21F 11th Circuit Turnover Prudential Copyright VXX Confirmation Rule 2430 Self Directed Backstage Wall Street Chevron Annual Audit Schneiderman 10b-10 Rule 13504 Google Judgment Thain Offset Reuters Stop Loss Rule 420 CAT McCartney Wire Transfers Obamacare iPhone At Will Springsteen Martin Summary Judgment Elon Musk IBM Title VII Supervisor Cybercrime Exotic ETF FINRA Eligibility Rule Beatles Credit Repair Bank Guarantee Disney Life Settlement Office of Special Counsel Murray FNI Media Tippee Expense Kenneth Starr Kierkegaard Retroactive Retroactive Bar Checking Impersonator Notice Initials Tipper Nasdaq NYLIFE ADR Executrix Altered Records Flash Drive BBVA Daspin Orders Income Collateral Bar Fiero Falsification false statements Sharing Agreement Reasonable Exception Reports Books and Records MDLA Willfull bank MSPB Berthel Fisher Gifts FDA Frivolous Municipal Advisor DWI BitTorrent NRSRO Bartko Jon Corzine Motion to Postpone Dissident Harris Transfer Transamerica Constructive Discharge Racial Discrimination Anderson Sterne Agee Solomon Women RRBDLAW Lexicon Wells Fargo Advisors Lee Texas State Securities Board Merrill Extraordinary Circumstances Brokeandbroker.com Advisor Placement Group Last Known Address Well Managed Portfolio Mantar Public Arbitrator Mail Dinner NFA Quasi Governmental JAMS Theft Preet Bharara Cybersecurity House Financial Services No Show Court of Appeal Broy GAP Ecuador Bezos Conflicts Turbeville MBS Non Compete Criminal Salman Punitive Guardian Twitter Goble Superior Court Liquidation CMO Lewis Carroll Capitalism Malice EDPA Work Product Bribe Arbitrator Coin PSRO Section 206 William Faulkner Ten Commandments Apartment Game of Thrones Sex BIll Singer ESG Particularity State Farm EB-5 Merger In House Counsel Arbitrability Banks Vacate AIG Mistake Hertz Compliance Questionnaire Fraudulent Inducement JPMorgan Chase Stephen A. Kohn 9th Circuit Bill Singer BrokeAndBroker Leveraged ETFs Law School Evidence Burden of Proof SEC Rules of Practice Walter Books And Records College Rule 144 Dylan Stock Promotion securities fraud Bob Dylan Cantor Fitzgerald Retired Woman With Cane Tennis Court Espionage Dow Martoma Janney Montgomery Scott Collateral Vaccarelli Reason for Termination Father Galleon Undertaking Patriot Act Diabetes Bank Secrecy Act Spam UIT FinCEN EEOC Legend Traders Cherry Picking Securities America Disparate Treatment Subject Matter Jurisdiction Deferred Prosecution Agreement Molchatsky Allocation Bill singer expenses Excel Fourth Amendment sexism Allstate Powell Rule 12511 Gabelli 5Cir Blackbook Eric Stein Kent Financial Disclosure Nationwide Unauthorized Trades Series 66 Rule 12104 DPA Margin Calls Deceased Customer Proctor Branch Manager Liu Countrywide 1099 Third Party Beneficiary Statute of Limitation Compliance Officer Bequest Wang Mary Jo White Penalty Non-Prosecution Agreement Investment Advisers Act Pacifico SIPC God Investacorp Oilpro Ethics QuadrigaCX Stipulation Led Zeppelin ALJ Grimes Tran Sears Exhaustion Doctrine Koval Rule 2330 Securities and Exchange Commission PHC Motion To Dismiss Baby Boomers Swaps Motiion to Acquit Schumer Confidential Customer Information Municipal Bonds Clayton Examinations Rules of Practice Binary Options Harassment Subway Res Judicata 8210 Hackers AWC. FINRA Trainee Fee Grievance Khan ACT! Tysk Chase Bank Romer Mattera Varney Laser ALJ Foelak Newbridge Currency ADEA Gnomes South Park Scam Practice Sale Reverse Merger Merill Lynch Mary Schapiro Pershing Wages Customer Files FINRA Foundation BrokeandBroker.com Compromise Undercover US Airways Cellphone Hurtado Age Discrimination Prime Bank SDOH Short Sale Cryptocurrencies Voya Principal Personal Information Dostoevsky Costa Rica Naskovets Witness Tampering Boyland Production Preliminary Determination Jury Instructions Jay Clayton Covid-19 Rule 3210 Hayden National Securities Lek NPI FTC ETFs Zoom Kennedy HBO SDCA Altered Payroll Alcoholism Back Dated Silver Skimming Promoter Travel NML Diamonds