FINRA launched a new webcast this week on understanding the outside business activities rule and private securities transaction rule (NASD Rules 3030 and 3040, respectively). The 11-minute webcast does a good job explaining the requirements of the Rules, and would be a good, quick lesson for brokers and those who want to better understand these important Rules. Importantly, the webcast stresses the need for brokers to ensure they understand their firm's policies and procedures in these areas, noting that a firm may impose additional requirements. Check out the webcast here.
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- Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practice primarily focuses on representing broker-dealers, stockbrokers and investment advisers in disciplinary investigations and actions, customer complaints, arbitration claims and civil litigation, as well as representing investors in securities arbitration claims. Joel has been designated a Certified Regulatory and Compliance Professional (CRCP) by the NASD Institute at the Wharton School of Business, University of Pennsylvania. Click on the link above to visit our website and learn more.
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October 09, 2007
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