LeGaye Law Firm - Financial & Regulatory Compliance
Tel: 281.367.2454
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Independent Contractor or Employee

December 3, 2025VideosFINRA, Independent Contractor, Labor Law, SECDaniel LeGaye

A quick breakdown of why financial firms struggle to classify representatives as independent contractors under labor law while still meeting SEC and FINRA supervisory requirements.

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← How The LeGaye Law Firm Simplifies FINRA BD Registration FINRA Rule 3280 – Avoiding Compliance Pitfalls →

Legal Alerts

  • Regulation S-P: The New Privacy Mandate for Broker-Dealers and Advisers
  • Text Messaging in the Financial Industry — and the Disclosures You Must Have

Videos

  • AI in Finance: SEC Crackdown on Misleading Claims
  • FINRA Rule 3280 – Avoiding Compliance Pitfalls

Contact Us

2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380
Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
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