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 Employment Expungement Street Sweeper Jobs Bill SInger Fraud Wells Fargo Promissory Note OBA Email Wire Fraud Forbes U5 FBI U4 UBS Merrill Lynch EFL Elderly Ponzi ALJ Citigroup Outside Business Activity Borrowing OIP Suitability Rule 3270 Statutory Disqualification Morgan Stanley Defamation Wachovia IRS Whistleblower PST Bank Mail Fraud Felony Supreme Court Form U4 DOJ Wrongful Termination Supervision BrokerCheck Employment Tuesday Insider Trading BrokerAndBroker Madoff NAC SDNY Bankruptcy Forgery Checks Expenses Conversion CRD Raymond James Dodd Frank Credit Card Rule 3040 RIA Indictment Form U5 Street Legal CCO Willful Punitive Damages IRA Guest Blog Ameriprise Facebook Private Securities Transaction Rule 3240 Real Estate Settlement Case In Point LPL Exam Schapiro Tax Lien Power of Attorney Bank of America Impersonation ATM Commissions Rule 2010 Wall Street NYSE Antitrust Discretion Bar Schwab WSP Annuities Wife OHO Rule 8210 Discovery Goldman Sachs JP Morgan Outside Business Activities Wire Appeal Mortgage NASAA Tax Liens Employee Forgivable Loan Rule 1122 SRO Promissory Notes Offer of Settlement Securities Fraud ETF Misdemeanor Cease And Desist NASD Test Edward Jones Chase Conspiracy ARS NSF Business Expenses Estate Husband Pro Se Tax Spouse Huffington Post Flash Crash Signatures Loan HFT Lien Initial Decision LOA Money Laundering Due Diligence Signature Barclays Small Firm Corrective Action Statement Gallagher Complaint MSSB Trust Trustee 2Cir Credit Cards POA Fidelity Hacker NASDAQ RRBDLAW.com Liens Registered Rep Magazine Bharara DCCir E*Trade Letter of Authorization Malware Away Account employment CFTC Forex Continuing Education Injunction Rule 2080 Annuity Lehman Brothers RBC Bonus email FINRA Arbitration VA Deutsche Bank Identity Theft Remand Variable Annuity arbitration Beneficiary Second Circuit PCAOB Margin jobs Annual Compliance Questionnaire Mandatory Arbitration 2nd Circuit Private Placement Undisclosed Settlement Judgments Rule 3010 Stockbrokers Stephen Kohn Away Accounts Hacking Wey Reg SP LIBOR Solicitation Willfulness Wedbush Prison Bureau of Prisons OTR Telephone RRBDlaw.com Failure to Supervise FOREX Social Media BOP IC3 Website Trading Platform Piwowar Rule 3050 OWB Great Recession BrokeAndBroker Bill Singer NYAG RMBS Auction Rate Securities brokeandbroker Scottrade Hedge Fund 10Cir Internet Compliance Insurance Obstruction of Justice Private Securities Transactions Dissent Plea MetLife Self Regulation Net Capital China Eligibility Rule JPMorgan Unfair Competition Rule 2510 Unauthorized Trading Retirement Will Registration Rakoff T&P Knight Apple Commission EIA Joshua Brown Reg D Confidential Information Hurry Fiduciary SAC ADA Phishing Retaliation Options Brummer Wine Discrimination Willfully Audit Unauthorized Discretion IAR Guest Blogger Solicited Divorce Raiding Cheating Variable Annuities Medicare Lehman Crowdfunding Article V Gold Khuzami Passcode Check Kiting Affinity Fraud Customer Complaint Morgan Keegan Rule 12206 Ketchum Shah Gilani MF Global PN Aleynikov Regulation SP Banc of America Confidential Woody Allen Protocol TRO Vacatur Poteroba Pennystocks Confirm BrokeAndBroker Charles Schwab Executor IPO Casino Customer Charge Rule 4511 Rosenthal Recruiting Stanford Sexist Bid Rigging Sales Assistant Finder\'s Fee Rule 12805 Side Bar Morgan Stanley Smith Barney Laptop Examination 6th Circuit Wire Transfer Vault Information BrokeandBroker Lucia Failure To Supervise PNC Time And Price Online Pennystock Bandimere Morgan Stanely Guest Bloggers Fees Bear Stearns Kon Smith Barney Corruption McDuff USERRA Unsolicited White Reg S-P Disgorgement ING Rule 3280 bill singer Check Private Placements Bloomberg Newman Debit Card Sexism Spouses Chief Compliance Officer Aguilar Employment Agreement Parking REIT CE Embezzlement JOBS Act High Frequency Trading Waiver NPR Marketplace Bank Fraud Termination Day Trading Rule 2111 Eligibility Unregistered Penson Deferred Compensation OIG Disclosure Broker Protocol Corzine Appointments Clause Stockbroker Mutual Fund FCI Reverse Life Insurance Broke And Broker Moore Netschi Inside Information Timban 11th Circuit Registered Investment Advisor David Sobel Hospital CGMI Moon Affiliate 401k Written Supervisory Procedures Due Process Rule 9216 Investment Adviser CPA Layering 40 Act Rule 4530 Elles Deceased Severance Fowler Class Action Department of Justice Consent Order Compensation OCIE Schneiderman Hearing Tax Fraud BrokerAndBroker.com AML Credit Suisse Do Not Call Spoofing FNMA FINRA AWC Rule 3030 Series 7 ACQ FINOP Conflict Sanction Guidelines HSBC Reimbursement Fifth Amendment Administrative Remedies Statute of Limitations Female Argentina SP Dell Oppenheimer Stay Imposter Florida Unjust Enrichment Red Flags Rule 2370 CNBC Non-Solicitation Board Commodities Fraud Lawyer Christian Stanley Scottsdale Testimony TIC Restaurant Unauthorized Practice of Law WaMu Sanctions Disability Client Information Personal Expenses Charity Small Firm Governor Customer Information Lincoln Financial Equity Indexed Annuities 401(k) Judgment Backstage Wall Street Stifel Scholander Outside Account TheBlot 9Cir Loans Motion to Dismiss Frumento Teleconference RRBDlaw TSSB Gusrae Kaplan Chase Investment Services Taft Correctional Institution FCI Beaumont Leveraged ETF US Airways signature DWI Commodities AIG Hertz Johnson Fines Broy Fiero BrokeAndBroke Counterclaim iPhone Rule 9552 Cellphone Lek Chiasson Spam Fiduciary Duty Obstruction false statements Immunity Testing RRBDLAW Expense Retired Woman With Cane EDNY Self Regulatory Organization Diabetes Impersonator FOCUS Walter Sexual Harassment Falsification Sharing Agreement BitTorrent Dow Schumer Rule 1031 Thain Leveraged ETFs Nasdaq Goble Circuit Court House Financial Services Bribe Books and Records Flash Drive Elder Fraud Password BBVA Congress Mutual Funds Stock Promotion Compromise 8210 Spoliation Outside Accounts Sexual Discrimination Research Short Sale Theft Boyland Tennis Court Reuters Brokeandbroker.com Collateral Bar Cybercrime Exhaustion Doctrine Kennedy Euro Checking Naskovets Skimming Accounting Third Party Vendor Kenneth Starr Joint Account Murray Mother Advisor Placement Group Jurisdiction Public Interest Mattera Gabelli Pacifico Widow Selling Away Non-Prosecution Agreement Reform CDO DOL Data Koval Laser Kiting Proctor Summary Judgment Commissioner Stein SunTrust Trainee Fee Personal Information NML AXA Credit Repair Books And Records Aegis Frumento Fee Motion To Dismiss Postponement Mary Jo White 9th Circuit Death Bank Guarantee Payroll Martin Bill Singer BrokeAndBroker Texas State Securities Board CRS Settling Away Compliance Questionnaire Rule 12200 Investor Alert Resignation Rule 13200 Silver Subway Galleon Counterfeit Evidence Prime Bank FCPA Google Form ADV Trader Preet Bharara Executrix Explained Decision BrokeandBroker.com Eric Stein Branch Manager FDA VXX TD Ameritrade VIX Enforcement Varney Retroactive Bar Retroactive NYG Capital Costa Rica NRSRO McCartney Bartko Criminal Obamacare SIPC expungement JPM Attorneys Fees Money Market Lee Negligence Unsuitability Undertaking Disparate Treatment Arbitraiton Inmate 1099 Rule 2081 Arrest FNI Media Municipal Advisor God Altered Records David Lerner 1Cir Andrew Wels Tortious Interference Electronic Communications Motion Undercover Dementia Customer Files Escrow Merrill Burris Practice Sale Tran Reverse Merger Anderson Bonds Countrywide Initials BATS Wells Fargo Advisors Investment Advisor Wages FTC