23. Employee Conduct and Conflicts of Interest

In this section

• Outside Business Activities in Securities: Understanding FINRA Rule 3270
  Explore the intricacies of Outside Business Activities (OBAs) under FINRA Rule 3270, essential for General Securities Representatives. Learn about compliance, disclosure requirements, and best practices to prevent conflicts of interest.
  • Notification and Approval Requirements for Outside Business Activities
    Understand the notification and approval requirements for outside business activities (OBAs) for securities professionals. Learn the process, firm responses, and how to complete an OBA disclosure form.
  • Compensation and Disclosure: Essential Guidelines for Series 7 Exam Success
    Understand the critical aspects of compensation and disclosure in outside business activities for the Series 7 Exam. Learn about disclosure requirements, types of compensation, and the consequences of non-compliance.
• Personal Trading and Insider Information: Compliance and Ethical Practices in Securities Trading
  Explore the critical aspects of personal trading and insider information, focusing on compliance, ethical practices, and regulatory requirements for securities professionals. Gain insights into avoiding conflicts of interest and trading on material nonpublic information.
  • Restricted and Watch Lists: Understanding Their Role in Employee Trading and Compliance
    Explore the critical role of restricted and watch lists in monitoring and controlling employee trading within the securities industry. Learn how these tools help firms enforce compliance and prevent conflicts of interest.
  • Trading Restrictions in Securities: Understanding Compliance and Best Practices
    Explore comprehensive insights into trading restrictions, blackout periods, and compliance procedures for securities industry professionals. Learn about the importance of pre-clearing trades, potential consequences of violations, and best practices for managing personal trading accounts.
• Gifts and Gratuities in Securities: Understanding FINRA Rule 3220
  Comprehensive guide on gifts and gratuities in the securities industry, focusing on FINRA Rule 3220, gift limits, exceptions, and compliance best practices.
  • FINRA Limits on Gifts and Gratuities
    Comprehensive Guide to FINRA Limits on Gifts and Gratuities for Series 7 Exam Preparation
  • Entertainment and Business Functions in Securities Industry
    Explore the guidelines and regulations surrounding entertainment and business functions in the securities industry, focusing on compliance and ethical considerations for registered representatives.
• Political Contributions: Understanding FINRA's Pay-to-Play Rules and Compliance
  Explore the intricacies of political contributions within the securities industry, focusing on FINRA Rule 2030. Learn about the 'Pay-to-Play' rules, prohibitions on municipal securities business, and compliance measures for monitoring political contributions.
  • Understanding Pay-to-Play Rules for Securities Professionals
    Master the intricacies of Pay-to-Play Rules in the securities industry, focusing on political contributions and compliance.
  • Contribution Limits and Restrictions in Political Contributions
    Explore the comprehensive guidelines on contribution limits and restrictions for political contributions in the securities industry, focusing on firm policies, pre-approval processes, and recordkeeping requirements.