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: Regulatory
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, …
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