FINRA: Regulatory Notices· Regulatory Notice 26-20·· 2 days agoAI Score45
FINRA Issues Regulatory Notice 26-20, Introducing New Rule 3290 to Replace Rules 3270 and 3280
Regulatory Notice 26-20
AI summary
FINRA has introduced new Rule 3290 (External Activities Requirements), replacing former Rule 3270 (Outside Business Activities of Registered Persons) and Rule 3280 (Private Securities Transactions of Associated Persons), to uniformly regulate external activities of registered persons and external securities transactions of associated persons, with an effective date of October 25, 2027.
Source:FINRA: Regulatory Notices · finra.org