Russell Fecteau

Russell Fecteau

Davis Wright Tremaine LLP

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FINRA Proposes a Unified Rule for Outside Business Activities and Private Securities Transactions

FINRA proposes a new rule to simplify requirements in Rules 3270 and Rule 3280, aiming to reduce unnecessary burdens. The structure of Proposed FINRA Rule 3290 requires prior written notice for investment-related activity...more

4/1/2025  /  Broker-Dealer , Comment Period , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Investment Management , Proposed Rules , Regulatory Requirements , Rulemaking Process , Securities , Securities Regulation
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