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Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions

June 29, 2017

The Financial Industry Regulatory Authority (“FINRA”)  announced in Regulatory Notice 17-20 that it  has identified Rules 3270 and 3280, which govern outside business activities and personal securities transactions for review. The rules govern firm employees’ business and securities activities that are carried out away from their firm – activities that are outside the regular course or scope of their employment with a firm.

To that end, FINRA has requested comment in part on whether the rules have effectively addressed the problems they were intended to mitigate, and obtain feedback on the economic impact of the rules and the challenges to complying with them.  Comments must be received by June 29, 2017.

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June 29, 2017
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