Loading Events

« All Events

  • This event has passed.

Outside Business Activity Review (FINRA Rule 3270)

July 29, 2016

FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation of compensation, from another person as a result of any business activity outside the scope of the relationship with the member firm unless he or she has provided prior written notice to the member firm. Registered persons may not engage in the activity until they receive written permission from the member firm.

http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=12945&element_id=9467&highlight=3270#r12945

Details

Date:
July 29, 2016
Event Category:
Event Tags:
,
Copyright© 2024 The LeGaye Law Firm P.C.