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FINRA Requests Comments on Rules Relating to Member Firm Employees' Outside Activities

As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions of an Associated Person"). The purpose of the request is to help FINRA evaluate the effectiveness of the rules and consider whether any guidance or amendments are needed. The Rules address the business and securities activities of member employees that take place outside the employees' firms.

Comments are due by June 29, 2017.

Primary Sources

  1. Regulatory Notice 17-20: "FINRA Requests Comments on Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions"

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Tags

Regulated Activities
Employee Matters
Sub-Activity
Outside Business Activities / Private Securities Transactions
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA