HelpFINRA Manual: Contents
FINRA Manual
Corporate Organization Retired Rules
Retired NASD Rules
CONDUCT RULES (2000–3000)
3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES
3115. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures
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Up to Dec 14 2010
Dec 15 2010 onwards
Dec 15 2010 onwards | Notices (9 links) | |
96-33 NASD Clarifies Rules Governing RR/IAs
90-37 Proposed New Rule Re: Handling Customer Limit Orders; Last Voting Date: July 5, 1990
89-39 Proposed New Rule Re: Handling Customer Limit Orders Last Voting Date: June 1, 1989
88-45 Proposed New Rule: Outside Business Activities-Last Voting Date: August 1, 1988
3030. Outside Business Activities of an Associated Person
This rule is no longer applicable. NASD Rule 3030 has been superseded by FINRA Rule 3270. Please consult the appropriate FINRA Rule.
No person associated with a member in any registered capacity shall be employed by, or accept compensation from, any other person as a result of any business activity, other than a passive investment, outside the scope of his relationship with his employer firm, unless he has provided prompt written notice to the member. Such notice shall be in the form required by the member. Activities subject to the requirements of Rule 3040 shall be exempted from this requirement.
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Adopted by SR-NASD-88-34 eff. Oct. 13, 1988. Selected Notices: 88-5, 88-45, 88-86, 89-39, 90-37, 94-44, 94-93, 96-33, 01-79. |
