An irreverent Wall Street Blog
by Bill Singer

Registered Rep Magazine

October 25, 2010

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.

 

  

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