I am an independent contractor with a securities firm. Last year, during a compliance meeting, the broker/dealer said that along with regular audits, they would be pulling a credit report for each contractor. Additionally, the compliance officer alluded to the fact that they may start requiring...
My jurisdiction is: South Carolina
I am an independent contractor with a securities firm. My contract states that the broker/dealer can terminate the contract at any time (immediately) for any reason by giving written notice and that if I want to terminate it, I have to give the broker/dealer...