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Message: [QUOTE="Niastri, post: 3708089, member: 722"] The rules for his company are likely more stringent than the regulatory rules. If he is as Investment Advisor Representative, Registered Representative and Insurance Agent, he has 11 regulatory agencies on his ass right now. I think the rules are a little less strict if he isn't an IAR. My firm is extremely strict, so the rules I have to follow are harsher than the regulatory agencies. I would get fired long before the any of the 11 started sniffing. I suspect the same is true for a Mass Mutual agent. If he is giving investment advice on a forum under an assumed name, he's done for. [/QUOTE]