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Home | Updates To Outside Business Activity Tracking - FINRA Rule 3270 |
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Updates To Outside Business Activity Tracking - FINRA Rule 3270
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- December 18, 2010
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Quest CE's industry leading Outside Business Activity Tracking Solution is compliant with the new FINRA Rule 3270. FINRA Rule 3270 requires registered representatives to provide a prior written notice to broker-dealers of an outside business activity.The new rule went into effect December 15, 2010.
Effective December 15, 2010, FINRA Rule 3270 will require registered representatives to provide a prior written notice to broker-dealers of an outside business activity (OBA).
Review and approval by member firms is required in order to determine if the activity is appropriate. Based on the revie...
- Read more at:http://www.1888pressrelease.com/updates-to-outside-business-activity-tracking-finra-rule-3-pr-265342.html
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