Their Business is Your Business! Outside Business Activities- A New Perspective
8:40 AM – 9:55 AM
Friday, October 12
David Greene, Larry Nakamura
FINRA Rule 3270 harmonizes the rules regarding outside business activities by merging NASD Rule 3030 and NYSE Rule 346.
- Overview of FINRA Rule 3270
- Who and What? Who will be involved in what type of activity?
- How? Is there a full understanding of all aspects of the outside business activity being considered for approval?
- Effective appropriate procedures concerning evaluation and monitoring of OBAs
- OBAs and WSPs: Common firm best practices
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