View Whole Section Print Print Manager Link
Previous Next
  Versions
(2 versions)
 
Up to Dec 14 2010Dec 15 2010 onwards

3030. Outside Business Activities of an Associated Person

Past version: effective up to Dec 14 2010.
To view other versions open the versions tab on the right.

SR-FINRA-2009-042 has been approved by the SEC. Effective December 15, 2010, this rule will no longer be applicable. 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.
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.

Previous Next