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 AThttp://registeredrep.com/advisorland/compliance/finance_message_medium/index.html/
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[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellGood, Bad and Ugly"Alas, poor Yorick!" says Hamlet. "I knew ... Read On
A recent FINRA regulatory settlement shines a harsh light on problems involving the delicate interplay between investment banking and research. As mos... Read On
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/531... Read On
You work directly for a subsidiary but enter into an Employment/Non-Solicit Agreement with the parent. Things are fine until they're not. You leave. T... Read On
[In]Securities Guest Blog: Freedom Flashing by Aegis Frumento Esq (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5305/aegis-frumento-insecurit... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellFreedom FlashingEarly in Dostoevsky's novel Demons, Kirillov... Read On