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 Employment Street Sweeper Bill SInger Jobs Wells Fargo OBA Fraud Promissory Note U5 Email U4 Wire Fraud UBS Merrill Lynch Elderly Forbes FBI Morgan Stanley EFL Statutory Disqualification PST Defamation Suitability Citigroup ALJ CRD Ponzi Borrowing Guest Blog Rule 3270 BrokerCheck Whistleblower Outside Business Activity OIP Supervision IRS Guest Blogger Form U4 Wachovia Felony Bank DOJ Willful Wrongful Termination Mail Fraud SDNY Supreme Court IRA Expenses NAC Pro Se Discretion Rule 2080 Ameriprise BrokerAndBroker CCO Insider Trading Conversion Checks Form U5 Wife Employment Tuesday Punitive Damages Madoff Husband Rule 8210 Raymond James Forgery Tax WSP Bankruptcy OHO Aegis Frumento Dodd Frank Credit Card NASD Rule 3040 Rule 3240 Estate Frumento Willfulness Settlement Rule 1122 Private Securities Transaction Discovery RIA Rule 2010 Real Estate Indictment Wall Street Power of Attorney LPL Commissions JP Morgan Business Expenses Outside Business Activities Exam Bar Street Legal 2Cir BrokeAndBroker ATM Rule 3280 Edward Jones Annuities Margin Tax Lien NYSE Facebook Impersonation Case In Point Stephen Kohn Spouse Small Firm Bank of America Wire Mortgage Antitrust Corrective Action Statement SRO Complaint Test Beneficiary Tax Liens Appeal Rule 2510 Schapiro Trust NSF ETF Offer of Settlement Misdemeanor ARS Employee Forgivable Loan Schwab Due Diligence Goldman Sachs HFT Signatures Promissory Notes Trustee T&P NASAA Conspiracy VA Securities Fraud Unauthorized Discretion OTR Annuity PCAOB POA Lien Injunction Fidelity Loan Cease And Desist Initial Decision Signature CFTC Flash Crash RBC Chase DCCir LOA Undisclosed Settlement Huffington Post Barclays Spouses Away Account Credit Cards Mandatory Arbitration Deutsche Bank Money Laundering NASDAQ Insurance Compliance Great Recession Identity Theft Remand Bonus Hacker Gallagher Burris Lehman Brothers Variable Annuity RRBDLAW.com email Stay Bharara E*Trade Liens Scottrade Rule 4511 Continuing Education Unfair Competition Registered Rep Magazine MSSB Failure to Supervise Customer Eligibility Rule FINRA Arbitration Rule 12206 Wedbush Letter of Authorization brokeandbroker Annual Compliance Questionnaire Stockbrokers Malware JPMorgan Rule 3010 Fiduciary Reimbursement Solicitation Options Forex employment Audit Disclosure Solicited Away Accounts Wey Rule 12805 Net Capital Registration FINOP BrokeAndBroker Bill Singer Website Rule 3050 Hacking Social Media Retirement 2nd Circuit Second Circuit LIBOR Broker Protocol jobs TRO Will Customer Complaint arbitration Prison Variable Annuities Dissent Trading Platform Lehman Private Securities Transactions Plea Willfully BOP Unsolicited Rule 4530 Brummer Telephone Bureau of Prisons BrokeandBroker ACQ 10Cir Reg SP MetLife Commission Unsuitability Private Placement OWB Judgments IC3 Time And Price Apple FOREX Sanctions China RMBS Internet Newman Zipper Deceased Personal Expenses Divorce Unauthorized Trading RRBDlaw.com BrokeAndBroker.com Blog Motion to Dismiss Hedge Fund NYAG Rakoff Disgorgement DOL Statute of Limitations Spoofing Self Regulation Crowdfunding Knight Check Kiting Indemnification Obstruction of Justice Confidential Information Marijuana Auction Rate Securities ADA Emails Stifel Nicolaus Lucia bill singer Examination MC-400 REIT WSPs Protocol Testimony Rule 2111 Cheating Explained Decision Piwowar Rule 12200 Arbitraiton Stifel FNMA Rule 2150 Dakota Securities Hilton Weiner Medicare IPO Rule 3110 Sexist Wine Raiding Woody Allen Bonds MF Global Phishing Banc of America Discrimination Pennystock Regulation SP 9Cir Waiver Article V PN Conflict OIG Appointments Clause Churning Confidential Executor Charge Lawyer Board Aleynikov Shah Gilani Due Process Compensation EIA Ketchum Bandimere JOBS Act Rosenthal Recruiting Postponement Check Stanford Joshua Brown Reg D PNC Affinity Fraud Retaliation Botkin Elder Abuse OSHA Class Action Vacatur Rule 13805 Oppenheimer Affiliate Debit Card Morgan Keegan Gold Fees Securities Industry Commentator Hurry Khuzami Sanction Guidelines High Frequency Trading Rule 2081 Jurisdiction SAC Wire Transfer Passcode Imposter Unjust Enrichment Marine Corps Embezzlement Statement of Corrective Action Small Firm Governor SunTrust Whistleblowing Vietnam Charles Schwab Ride the Thunder Chief Compliance Officer Online Testing TD Ameritrade 401k Marines McDuff White Smith Barney Rule 3030 Bid Rigging Hearing Customer Information Severance Series 7 Laptop TOD Eligibility Aguilar Bloomberg Commodities Fraud AML 6th Circuit Teleconference Pennystocks Vault Self Regulatory Organization Parking Bear Stearns CEO Concentration Written Supervisory Procedures NPR Morgan Stanley Smith Barney Restaurant Cannabis Guitron Margin Call Johnny Burris Mother Accounting Rule 9552 Government Accountability Project Finder\'s Fee Deferred Compensation Confirm Sexism Yesenia Guitron Morgan Stanely Marketplace Dementia Information Employment Agreement Consent Order Membership Continuance Day Trading Trump Casino Corzine Puerto Rico HSBC Disability Reg S-P Sales Assistant Mutual Fund Failure To Supervise Statutory Disqualification Committee Whitman Kon Unregistered Mutual Funds Suspension Trade Secrets Poteroba Termination Penson Loans Side Bar TSSB ING Corruption USERRA Widow CE Private Placements Charity Bank Fraud Scottsdale Withdrawals Turnover Backstage Wall Street 4Cir Manifest Disregard Investor Alert Subpoena FCI Beaumont OCIE Florida FCI RRBDlaw Argentina FOCUS Dell Schneiderman Broke And Broker Nietzsche Investment Adviser Department of Justice Tortious Interference Judgment Hospital Rule 9216 Constitution TheBlot Escrow Rule 2370 Rule 1031 Settling Away Do Not Call Timban Administrative Remedies Research BD Stockbroker Rule 4513 Regulation Elles Elder Law Oral Discretion BATS PAQ Female Counterclaim Motion Verbal Discretion Fowler Wanger Chiasson expungement 11th Circuit Thain Scholander Credit Suisse Rule 12504 Medical Condition 40 Act Star Wars BrokerAndBroker.com Netschi Moore ACH Kiting Public Interest OWWP Layering Probate Motion to Vacate Federal Reserve Joint Account Unauthorized Practice of Law 401(k) Leveraged ETF Outside Account Fine Cold Spring Advisory Group Jennifer Tarr Over Concentration Stipulated Award Unsuitable Congress Blockchain WaMu Circuit Court Rule 2210 Red Flags Robert Cook Guest Bloggers Inability to Pay Lincoln Financial Fifth Amendment Negligence Inside Information Password Tax Fraud CGMI VXX Sexual Harassment CPA Form ADV Board of Governors Chase Investment Services Crypto Stop Loss Equity Indexed Annuities Client Information Inmate Arrest Taft Correctional Institution Moon SP Outside Accounts Reverse Life Insurance CRS Counterfeit signature CNBC TIC Non-Solicitation Third Party Vendor Commodities Christian Stanley Money Market IAR FINRA AWC Commissioner Stein Sharemaster Feigenbaum David Sobel Customer Files Cherry Picking Stephen A. Kohn Fiero BrokeAndBroke Kent Slander Fines Willfull Exhaustion Doctrine Supervisor FTC BrokeAndbroker Costa Rica Oilpro Personal Information Disciplinary History Pension Work Product Trader Leveraged ETFs Varney Privilege Excel Jon Corzine iPhone Apartment AXA Collateral Wire Transfers Bill singer Advisor Placement Group Newbridge CMO Sears Coin Merrill God Puts Credit Repair DWI Subway Undertaking Flash Drive Bank Guarantee Office of Special Counsel Martin Branch Manager Eric Stein Attorneys\' Fees Anderson Rory Flynn MSPB Tennis Court Retired Woman With Cane Standing EDNY Grievance Texas State Securities Board Promoter Theft Rule 13200 Stock Promotion CD SD Permanent Bar Lee Rule 12212 FDA CDO Prime Bank Offset Meals JPM Reuters US Airways Compliance Questionnaire AAA Disparate Treatment Scam Reverse Merger Cellphone Johnson Wells Fargo Advisors Excessive Trading 1Cir Initials Taxes Molchatsky David Lerner 8210 Checking AWC. FINRA FCPA Compromise Wires Dinner Motion to Compel FINRA Small Firm Preet Bharara Short Sale Resignation GAP Test Center Hugh Hewitt Capital Gains ADR Expense Lek Pruco Texting Summary Judgment Bribe Rules of Practice Selling Away Mary Jo White Reason for Termination Death Koval Elon Musk Compliance Officer Payroll Travel Chase Bank Goble Relevant First Amendment Naskovets Skimming Springsteen Cybercrime McCartney Statute of Limitation FNI Media Kierkegaard Obamacare Securities and Exchange Commission Murray Kenneth Starr Customers 9/11 Regulation S-P SIFMA MBS Turbeville SIPC Expert Witness Impersonator FINRA Board Fee 1099 BitTorrent AIG Fourth Amendment Financial Disclosure Bitcoin Finra Enforcement Hertz S&P Nationwide Outside Counsel Baby Boomers In House Counsel Conflicts Countrywide Tran 17a-5 Annual Audit Motion To Dismiss Books And Records Lawyers Ethics Nasdaq Chevron NYG Capital Mistake Mattera Brokeandbroker.com NFA Father RRBDLAW Spoliation Sexual Discrimination Sarbanes Oxley Criminal Mary Schapiro Trainee Fee BIll Singer Trading Laser Martoma Janney Montgomery Scott Quasi Governmental Solomon Rule 420 Silver Evidence SEC Rules of Practice Non Solicitation NML LLC Kennedy House Financial Services Broy Google FAA BrokeandBroker.com Electronic Communications Immunity Sex Galleon Practice Sale Newport Coast Securities Merger Bartko NRSRO 9th Circuit Retroactive Retroactive Bar Collateral Bar Municipal Advisor Wages Lewis Carroll Undercover Liquidation Altered Records Salman Tipper Data Tippee Fiduciary Duty FMLA PIABA Bill Singer BrokeAndBroker State Farm Reform Executrix Service Funds Currency Boyland false statements TCR Proctor Diabetes Microcap Obstruction Blank Forms Constructive Discharge Elder Fraud Dow Books and Records Attorneys Fees Gabelli Walter Non-Prosecution Agreement Sharing Agreement Risk Pacifico Spam Falsification Merill Lynch Schumer BBVA