EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog CASE IN POINT Posts New Episode

October 27, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

searchable by title, skills, job, city, state, zip, and company

NOTICE TO EMPLOYERS BrokeAndBroker.com offers the perfect Wall Street demographic of stockbrokers, advisors, lawyers, regulators, compliance, and back-office personnel

Click POST A JOB and your position will be promptly listed.  
Only $50 for 30 days!

BrokeAndBroker.com Blog is pleased to refer our readers to:

Image result for

Image result for

October 27, 2015: Not that long ago there were 6,000 broker/dealers registered with FINRA. Now there are 4,000. Is there a future for the small and mid-sized broker/dealer? Bill Singer speaks to Martin Kaplan, partner with the law firm of Gusrae Kaplan Nusbaum, on the current "draconian" regulatory environment under the Financial Industry Regulatory Authority. FINRA values "putting notches on the regulatory belt and extracting large amounts of money from firms that can least afford it," he says. Kaplan argues for a regulatory regime that assists broker/dealers in complying with the law, as opposed to the "inquisition-like" pursuit of small, unintended violations of burdensome codes. "It is a system that is troubled when you have to balance your budget by fining your members," he says. WATCH