Tag Archives: Private Securities Transactions

FINRA Proposes New Rule on Outside Business Activities and Private Securities Transactions

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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 →

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

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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 →