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FINRA Rule 3270

Prohibits a person registered with a firm in any capacity from receiving or having a reasonable expectation of compensation from another person as a result of business activity that is outside the scope of the relationship with the firm. The firm may permit such an activity if the person has provided prior written notice of it to the firm.

Rule Overview

Jurisdiction: United States

Regulator: FINRA

Topic: Conflict of Interest

Overview
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There is an explicit exemption from this prohibition of passive investments and activities subject to the requirements of Rule 3280.

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