Legal and Compiance Issues

A place to discuss the securities industry's legal landscape.
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Accredited trust status after death of primary
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Need advice re: U4 issue
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U-5
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Help! Fees!
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Getting hired with mark on U5
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Got Wells? Know your options...
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Never mind, deleted my own thread
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U4 amendment disclosure
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Series 7 extension
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Golden Handcuffs
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how to clean a U4/U5
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U4 Disclosure
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Is it Legal?
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Brookstone
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U4-Juvenile Traffic Felony Adjudication
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Discharges U4/U5
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Looking for NY State current or former Bloomberg subscriber
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Failure to Supervise
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CFPs and bankrupcty
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working full time at RIA while having licenses elsewhere
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Closing out a plan.
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Go for Arbitration or Not? Please help...
by AAA
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SEC Enforcement Chief Offers Up To Date Definition of Insider Trading
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Full Analysis by Bill Singer of Federal Court's rejection of Citigroup and SEC settlement
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Customer complains about conservative investments. Arbitrators give Wells Fargo Broker expungement
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