Aidikoff, Uhl & Bakhtiari Blog FINRA Outside Business Activities Attorney

FINRA Rule 3270 is a regulatory guideline established by the Financial Industry Regulatory Authority (FINRA) that governs the outside business activities (OBAs) of registered representatives in the securities industry. The rule ensures that financial advisors, brokers, and other professionals maintain transparency regarding their professional engagements outside of their primary employment with a member firm. FINRA [...]The post FINRA Outside Business Activities Attorney appeared first on Bakhtiari & Harrison.