Tag Archives: Independent Contractor

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.

“Independent Contractor or Employee?” Why Financial Firms Are Caught in a Regulatory Crossfire

August 11, 2025Legal AlertsFair Labor Standards, Independent Contractor, Independent Contractor Classification, Wage and HourDaniel LeGaye

One of the more complex and often overlooked regulatory tensions in the financial services industry lies in the conflict between securities law requirements and labor law guidance issued by the … Continue reading “Independent Contractor or Employee?” Why Financial Firms Are Caught in a Regulatory Crossfire →

DOL Withdraws Proposed Independent Contractor Rule

July 27, 2021Legal AlertsDOL, Independent ContractorDaniel LeGaye

In January 2021, the Department of Labor (“DOL”) announced a rule addressing the distinction between employees and independent contractors (“Independent Contractor Rule”) under the Fair Labor Standards Act (“FLSA”). The … Continue reading DOL Withdraws Proposed Independent Contractor Rule →