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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The SEC's Gagging Rightsby Aegis J. Frumento, Partner, Stern Tannenbaum & Bell If you email most folks at the SEC these days, you'll get ... Read On
Folks wear lots of hats on Wall Street. You got your stockbrokers. You got your investment advisers or advisors or however the hell you prefer to spel... Read On
Nuance is lost in today's era of bombast. Live long enough and you realize that few things in life are black or white -- maybe it's my failing eyesigh... Read On
It's a common enough problem with all forms of lawsuits. I served you. No you didn't. Yes, I did. No, you didn't. Yes. No. Yes. No . . . and it goes o... Read On
Hot Nepal Real Estate Market Burns Stockbroker With FINRA Fine and Suspension(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4380/FINRA-Nepal-P... Read On
In today's featured FINRA regulatory settlement, a stockbroker is fined and suspended for introducing two acquaintances to a profitable real estate de... Read On
Tucker Carlson, AOC, and the 70% Tax Rateby Aegis J. Frumento, Partner, Stern Tannenbaum & Bell Fox News’ Tucker Carlson and Congresswomen Al... Read On