Michael Gross

Michael Gross

UB Greensfelder LLP

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Yes, You Can Form A Broker-Dealer Without Running Afoul Of FINRA’s Outside Business Activities Rule

It is not a wise career move for a registered rep to leave his broker-dealer – thereby abandoning his customers, and affording competitors the opportunity to make his customers their own – and then to begin the long,...more

1/21/2019  /  Broker-Dealer , Business Formation , Financial Industry Regulatory Authority (FINRA) , Interpretive Letters , Investment Adviser , Notice Requirements , OGC , Registered Representatives , Safe Harbors , Written Notice
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