Tag Archives: law

Regulatory Analysis: FINRA Rule 3270 – Disclosure of Outside Business (Part I)

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. Part II is available here. THE RULE FINRA Rule 3270 – Outside Business Activity of Registered Persons No registered person may be an employee, independent contractor, …

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Youth Soccer Clubs’ Lawsuit: The Challenge of Certifying Defendant Classes

NOTE: This article has been modified from an earlier version, published in August 2016.  In a March 29, 2017 order, the United States District Court for the Eastern District of Texas dismissed the featured lawsuit on jurisdictional grounds.  Nonetheless, the ruling does not change the article’s analysis of defendant class certification. In July 2016, the …

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