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Special Event this Thursday! |
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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.
In today's blog we consider the plight of two registered representatives seeking to obtain expungements of customer complaints by filing FINRA Arbitra... Read On
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A Wells Fargo customer wanted to name her stockbroker as a Beneficiary of her accounts. In accordance with Wells Fargo policy, the stockbroker asked... Read On