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camper9

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camper9

Re: WatersWarm post# 31776

Tuesday, 12/30/2008 2:36:49 PM

Tuesday, December 30, 2008 2:36:49 PM

Post# of 346919
Can you imagine what it would be like if you had to ask your broker if the trade the broker just executed was valid?


"Retail brokers are the first line of defense for the markets," said Susan L. Merrill, Executive Vice President and Chief of Enforcement. "Brokerage firms and their employees must take action to ensure that they are not participating in illegal sales of unregistered securities. "

http://www.finra.org/Newsroom/NewsReleases/2008/P039148

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