Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, CFTC and UK/EU/Brexit Developments


FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities

On February 26, the Financial Industry Regulatory Authority released Regulatory Notice 18-08, which solicits comments on a proposed new rule to address the outside business activities of registered persons. The proposed rule would replace existing Rule 3270 (Outside Business Activities of Registered Persons) and Rule 3280 (Private Securities Transactions of an Associated Person) with a single rule governing outside business activities.

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Written by:

Katten Muchin Rosenman LLP

Katten Muchin Rosenman LLP on:

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