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