An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Registered Rep Magazine
Written: October 25, 2010
|
|
Special Event this Thursday! |
|
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/index.php
The Comprehensive Online Wall Street Regulatory and Legal Website:
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.
[^top^]
Previous Entries
March 7, 2014
Wall Street ain't always a happy place when it comes to labor relations. You got hundreds of thousands of registered persons lacking union representat... Read On
March 6, 2014
As with many lawsuits involving pro se parties, things don’t always go smoothly. Folks represent themselves for many reasons. Often it’s bec... Read On
March 6, 2014
Now Online at BrokeAndBroker.com:FULL-TEXT US Supreme Court Opinion in BG Group Plc V. Republic Of Argentina (US Supreme Court, 572 U. S. ... Read On
March 5, 2014
All that glitters is not gold. Fact is, a lot of shiny stuff is simply crap that glints in the sun and delights something childish in most of us. Kids... Read On
March 4, 2014
Now Online at BrokeAndBroker.com:FULL-TEXT US Supreme Court Opinion in Lawsom v. FMR Below are select extracts from the Opinion.At the end of the... Read On
March 4, 2014
Stockbroker, Compliance, Legal, and Regulatory JobsFor a full listing of current job openings, visit the BrokeAndBroker Employment Page ... Read On
March 3, 2014
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2012, Claimant CCO Investment Services and RBS ... Read On
February 28, 2014
On February 27, 2014, federal charges were filed in Boston in connection with an alleged microcap stock kickback scheme. The seven defendants are:1. S... Read On
February 28, 2014
At some point, you just decide to toss in the towel. You move on. You give up. You retire. Lots of reasons for stopping one thing and starting another... Read On
BrokeAndBroker.com Job Search
Job Search by 
Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Ameriprise Commissions Spouse Schwab CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC Smith Barney Lehman Brothers IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 RRBDlaw Appeal Fowler LPL Johnson US Airways Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon Merrill Anderson Exam Lee Borrowing Tax Lien Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Annuity FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker Prison NASAA Aguilar FCPA Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank God HSBC Private Placements Eric Stein Wire Fraud CCO Joshua Brown Backstage Wall Street Obstruction of Justice Retaliation Outside Account Options Telephone Wine Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA MetLife Continuing Education Impersonation Annuities BBVA Business Expenses OIP ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks PST Solicited Unsolicited Congress SRO Wife Discretion Restaurant Commodities Private Securities Transaction Offer of Settlement employment jobs Great Recession Chase Investment Services Barclays Willful Time And Price T&P Husband Letter of Authorization LOA Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Side Bar Mattera Female Sales Assistant Kennedy Argentina Judgment Bank Fraud TSSB Trustee 6th Circuit Proctor NYAG Gallagher White Compromise Website Supervision Piwowar signature