Author’s Note: This article is part of an occasional series on specific rules and regulations governing financial professions. It is also the second in a multi-part analysis of FINRA Rule 3270. Part II will analyze portions of the rule’s text that were not discussed in Part I, examine the content required for a notice under […]
Tag Archives: Financial
Regulatory Analysis: FINRA Rule 3270 – Disclosure of Outside Business (Part I)
Author’s Note: This article is part of an occasional series on specific rules and regulations governing financial professions. It is also the first in a multi-part analysis of FINRA Rule 3270. THE RULE FINRA Rule 3270 – Outside Business Activity of Registered Persons No registered person may be an employee, independent contractor, sole proprietor, officer, […]
The Nature and Extent of Arbitral Immunity
While the COVID-19 pandemic has shuttered much of the country’s judicial machinery, courts have released opinions on matters argued prior to the stoppage. Two recent federal court opinions – Cherdak, out of the D.C. District[1] and Lanza, decided by the First Circuit[2] – touched on an issue with relevance to financial professionals: arbitral immunity. This […]
