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

  • FINRA Rule 3290 Is Approved: What Broker-Dealers Should Do Before It Takes Effect September 28, 2026
  • Brokerage or Advisory? How Can Dual Registrants Defend the Account-Type Decision? September 21, 2026

Videos

  • FINRA Rule 3290 Is Approved: What Broker-Dealers Should Do Before It Takes Effect
  • SEC Approves FINRA Rule 5123 Changes: Is Your Private Placement Really Exempt From Filing?

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