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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FINRA Addresses Light Bulb and Coffee Cake Abuses(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4909/finra-beneficiary-bequest/As the old "lig... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellWhat's My Name?"What’s in a name?" lamented Juliet. "T... Read On
featured in today's Securities Industry Commentator:Corporate whistleblowers can make millions, and a select few are turning it into a business model ... Read On
Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4897/cftc-towers/On Wall Stre... Read On