Is Outside Employment Permitted by FINRA?

Under its outside business activities rule, the Financial Industry Regulatory Authority (FINRA) generally forbids persons associated with a FINRA member organization in any registered capacity from either being employed or accepting compensation from any other person as a result of … Read More

Who Must Register with Other Regulatory Regimes?

For investment advisers, the Investment Advisers Act of 1940 (the “Advisers Act”) and relevant state laws are the primary basis for their registration obligations.  However, depending on the type of clients they advise and funds they manage, advisers may also … Read More