compliance...

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???
     
    #1     May 10, 2004
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  2. ASav

    ASav

    Go for it.
     
    #2     May 10, 2004
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  3. lazybones

    lazybones

    What do you have? I did compliance and handled many U-5s for many years.
     
    #3     May 10, 2004
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