JD Supra15 天
FINRA Proposes and Seeks Comment on Simplified Rules for Outside Business Activities and ...
On Friday, March 14, in Regulatory Notice 25-05, the Financial Industry Regulatory Authority (FINRA) proposed a new rule to address when ...
JD Supra7 天
FINRA Proposes Single Rule to Replace FINRA Rules 3270 and 3280
FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) ...