Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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Non-compete
16
2010-02-27 08:35
Reimbursement Issue
1
2010-02-27 08:36
Paying for referrals compliant
4
2010-02-27 08:36
Finl Planning and Investment Advisory
5
2010-02-27 08:37
Overtime pay laws, settlements
0
n/a
RRBDLAW.com: New NYSE Disciplinary Cases
0
n/a
NASD August Enforcement Cases
0
n/a
Supervisory NASD Continuing Education
1
2010-02-27 08:40
Can We Get In Trouble For This?
2
2010-02-27 08:41
Outside business activity - trouble ahead
0
n/a
RRBDLAW: New NYSE/NASD Cases
0
n/a
Non-solicit agreement
4
2010-02-27 08:42
Complaint/arbitration
4
2010-02-27 08:43
Getting Ready to Sign all the contracts
7
2010-02-27 08:43
RRs on Active Duty
1
by Anonymous
2010-02-27 08:43
Merril Lynch Rule
6
2010-02-27 08:44
New Overtime Lawsuits?
8
2010-02-27 08:44
Broker Overtime Lawsuits
22
2010-02-27 08:44
Attention Indies: New Branch Rules
42
by Anonymous
2010-02-27 08:45
protection
1
2010-02-27 08:47
Investing at NAV
9
2010-02-27 08:47
Broker compensation
1
2010-02-27 08:48
Bill Singer Please Explain
4
2010-02-27 08:48
New NASD Cases Analyzed
4
by Anonymous
2010-02-27 08:48
Possible Inappropriate Activity
3
2010-02-27 08:48
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