Compliance

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Jun 2, 2007 10:05 pm

I'm a newbie four days on the job at one of the major wires. SEC circular k-34-56 prevents me from disclosing firm name. Penalties range from prision time to having my pee-pee whacked. Seriously, is there a more heavily regulated industry in the world? Nuclear waste? Asbestos removal?

Jun 2, 2007 10:19 pm

I was in the nuclear Navy, and yes, it is more heavily regulated. But the

regulations are more cut-and-dried. Our industry regulations are more

along the lines of "Don't do anything that we might not like. We'll let you

know if you've crossed the line."



Fortunately, with time, you'll learn to trust your gut on most regulatory

issues. I think I can speak for most of us when I say that when I started, I

didn't worry about intentionally breaking the law. I worried about that reg

that I didn't know I violated. You'll get the hang of it. Just be especially

careful at first, and when in doubt, always take the more cautious route.



Best of luck!

Jun 3, 2007 9:07 am

I believe you mean Sales Prevention, not Compliance.

Jun 4, 2007 9:05 am

Milk - seriously regulated.