The Financial Industry Regulatory Authority (FINRA) has proposed a new rule, FINRA Rule 3290 – Outside Business Requirements (Proposed Rule), to simplify and reduce unnecessary regulatory burdens related to the … Continue reading FINRA Proposes Rule 3290 to Streamline Oversight of OBAs and PSTs
FINRA seeks comments on a proposed new rule to consolidate FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person). … Continue reading FINRA Proposes New Rule on Outside Business Activities and Private Securities Transactions
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 … Continue reading Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions