Tag Archives: Regulatory Notice 17-20

Rules on Outside Business Activities and Personal Securities Transactions Under Review

The Financial Industry Regulatory Authority (“FINRA”) has announced, both in Regulatory Notice 17-20, and in a session regarding the topic at the recent 2017 FINRA Annual Conference in Washington DC, 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 … Continue reading Rules on Outside Business Activities and Personal Securities Transactions Under Review