3.7 Professional Conduct and Conflicts of Interest

In this section

• Understanding Gifts and Gratuities in the Securities Industry
  Explore the intricacies of gifts and gratuities regulations in the securities industry, focusing on FINRA Rule 3220. Learn about limitations, recordkeeping requirements, and exceptions to ensure compliance and maintain professional integrity.
• Outside Business Activities: Understanding FINRA Rule 3270 and Compliance Requirements
  Explore the complexities of Outside Business Activities (OBA) in the securities industry, focusing on the requirements, potential conflicts, and firm policies for compliance. Dive into FINRA Rule 3270 to ensure ethical and professional standards are met.
• Private Securities Transactions: Understanding FINRA Rule 3280 and Compliance Requirements
  Explore the intricacies of private securities transactions, often referred to as 'selling away,' within the context of FINRA Rule 3280. Learn about compliance requirements, the necessity of prior written notice, firm supervision, and recordkeeping responsibilities.
• Compensation Disclosure in Securities: Understanding Requirements and Best Practices
  Explore the comprehensive guide to compensation disclosure in the securities industry, focusing on requirements, conflict of interest situations, and the importance of transparency and honesty.