Private Securities Transactions

The Financial Industry Regulatory Authority (“FINRA”)  announced in Regulatory Notice 17-20 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 and securities activities that are carried out away from their firm – activities that are outside the regular course or … Continue reading Comment Period Ends on Review of Rules on Outside Business Activities and Personal Securities Transactions →