Discussion in 'Trading' started by dgmodel, May 10, 2004.

  1. dgmodel

    dgmodel Guest

    i had a question that i posted in chitchat but nobody there knew anything... does anyone here have any experience in compliance or know about compliance issues and u-5's???
  2. ASav


    Go for it.
  3. What do you have? I did compliance and handled many U-5s for many years.