FINRA Rules on Outside Activities of Associated Persons of Broker-Dealers | Practical Law

FINRA Rules on Outside Activities of Associated Persons of Broker-Dealers | Practical Law

A Practice Note discussing the FINRA rules governing the outside business activities of registered representatives of broker-dealers, private securities transactions of associated persons of broker-dealers, and personal securities transactions of associated persons. Specifically, this Note focuses on FINRA Rule 3270, FINRA Rule 3280, and FINRA Rule 3210.

FINRA Rules on Outside Activities of Associated Persons of Broker-Dealers

Practical Law Practice Note w-001-8748 (Approx. 10 pages)

FINRA Rules on Outside Activities of Associated Persons of Broker-Dealers

by Practical Law Corporate & Securities
Maintained • USA (National/Federal)
A Practice Note discussing the FINRA rules governing the outside business activities of registered representatives of broker-dealers, private securities transactions of associated persons of broker-dealers, and personal securities transactions of associated persons. Specifically, this Note focuses on FINRA Rule 3270, FINRA Rule 3280, and FINRA Rule 3210.