Litigator & Counselor
As follow-up to my earlier posts on the Diarra ruling and Viktor Gyokeres’ transfer saga, this edition will take a closer look at the “protected period” in a player’s contract.[1] FIFA’s Regulations on the Status and Transfer of Players define this as the contract’s initial two-to-three-year stretch, when an unjustified breach will subject the player, …
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The following is part of an occasional series on specific rules and regulations governing financial professions. This article will analyze FINRA Rule 2111, which establishes an advisor’s duty to recommend investments that are suitable for his or her customers. Rule 2111 – Suitability (a) A member or an associated person must have a reasonable basis …
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The following is part of an occasional series on specific rules and regulations governing financial professions. This article will analyze FINRA Rule 3280, which governs (and limits) private securities transactions by persons associated with a FINRA member (“associated persons” or “representatives”). In general, the rule forbids representatives from participating in private securities transactions unless they …
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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 3270 and …
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, …
Continue reading “Regulatory Analysis: FINRA Rule 3270 – Disclosure of Outside Business (Part I)”
Terry Brennan Law 