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My Brother In Law

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Feb 14, 2006 4:07 am
Is a broker at a indy firm. And is looking to have a "second job" He is looking to start an investment newsletter. I told him good luck trying to get compliance to approve. Does he have any chance to get this off the ground or is he going to have to decide between being a broker or newsletter writer?
Feb 15, 2006 12:24 am

He’ll have to become an RIA or affiliate with his corporate RIA, but he can do it.  It just won’t be easy from a compliance standpoint.