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Legal and Compliance Issues

A place to discuss the securities industry’s legal landscape.

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Referral Fees - Legal or Not?

by llcoolj

9

by anonymous

Jun 8, 2009

Need some advice

by Open4Suggestions

5

by Ash

Jun 8, 2009

License transfer time

by wirehire

4

by Sportsfreakbob

Jun 6, 2009

Naturalization issue

by thompson.thompson83

3

by Appoloin

Jun 4, 2009

Outside business activity?

by redsoxrep

4

by Ash

Jun 4, 2009

Employee vs. Independent Contractor

by anonymous

12

by army13A

May 30, 2009

Legal advice

by sameer9

2

by jackofalltrades

May 28, 2009

Forbes Regulatory Panel Video

by anonymous

2

by Ash

May 26, 2009

# reps a securities principal can supervise?

by dedub01

4

by Wet_Blanket

May 26, 2009

Non-compete

by brkrboy

13

by wirehire

May 26, 2009

Test

by anonymous

2

by Wet_Blanket

May 22, 2009

Employee vs Independent Contractor

by anonymous

1

by anonymous

May 21, 2009

Will they come after me?

by exportale

3

by Vin Diesel

May 11, 2009

License Transfer - what can you do?

by wirehire

4

by Ash

May 6, 2009

AC/DC and the Rolling Stones?

by anonymous

1

by anonymous

May 6, 2009

FINRA Rules on Love

by anonymous

2

by SometimesNowhere

Apr 23, 2009

RRBDLAW.com: FINRA case updates

by anonymous

1

by anonymous

Apr 21, 2009

Reverse Mortgages and Brokerage

by River_King

2

by anonymous

Apr 20, 2009

Does ANY attorney care about the wronged FA?

by JIMRICH

2

by anonymous

Apr 19, 2009

Broker Protocol/TRO's

by sickowire

2

by Ash

Apr 13, 2009

Merrill FCAAP & Growth awards

by Dovey

4

by Rifon14

Apr 10, 2009

Chinese Affinity Madoff-like Scam

by anonymous

2

by norway401

Apr 7, 2009

FUBAR. Finbar

by anonymous

1

by anonymous

Apr 7, 2009

Information about Generic Cialis

by SmithRoxy

3

by TE178519

Apr 3, 2009

Int'l Securities Scam No Regulator Will Touch

by anonymous

3

by jack_of _all_trades

Apr 1, 2009

Invite from Bill Singer

by anonymous

1

by anonymous

Apr 1, 2009

Leaving U5 Unemployment

by newcareer

3

by Windknot

Mar 30, 2009

Credit question..wire to indie

by bdlink

2

by feng shui

Mar 27, 2009

Felonies, Bankruptcies, DUIs, galore

by anonymous

7

by jack_of _all_trades

Mar 25, 2009

BrokeAndBroker: SEC slams OPCO (gifts/emails)

by anonymous

2

by e.giftshoppe

Mar 24, 2009

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