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What is Considered an Outside Business Activity? FINRA Rule 3270

One crucial regulation governing a financial advisor’s professional conduct is FINRA Rule 3270, which addresses outside business activities (OBAs). This rule requires careful consideration and strict compliance, and carries potentially severe regulatory consequences for non-compliance.  As a result, financial advisors must be mindful of and strictly comply with Rule 3270, as it is one of […]

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What is an Intellectual Property (IP) License?

In today’s fast-paced and innovation-driven world, intellectual property (IP) has become a valuable asset for individuals and businesses alike. Protecting and leveraging these intangible assets is crucial for maintaining a competitive edge. One way to do this is through the use of intellectual property licenses.  Understanding Intellectual Property Before delving into the specifics of an […]

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