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 Updates To Outside Business Activity Tracking - FINRA Rule 3270- Updates To Outside Business Activity Tracking - FINRA Rule 3270
- 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 review, this may lead to limiting or prohibiting an activity. Written records to document the review process will be filed accordingly.
For registered persons who are actively engaged in an outside bus...
- View more at: http://www.1888pressrelease.com/updates-to-outside-business-activity-tracking-finra-rule-3-pr-265342.html
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