Transcription of Regulatory Notice 18-08
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Regulatory Notice 18-08
SummaryFINRA seeks comment on a proposed new rule to address the outside business activities of registered persons. The proposal is the result of FINRA s recent retrospective review of FINRA s rules governing outside business activities and private securities transactions, FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person), respectively. The proposed rule would replace FINRA Rules 3270 and 3280 and is intended to reduce unnecessary burdens while strengthening investor protections relating to outside activities. The proposed rule text is available in Attachment A. Questions regarding this Notice should be directed to:00 James S. Wrona, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8270; or00 Meredith Cordisco, Associate General Counsel, OGC, at (202) RequestedFINRA encourages all interested parties to comment on the proposal.
To help FINRA process comments more efficiently, persons should use only one method to comment. Important Notes: All comments received in response to this Notice will be made available to the public on the FINRA website.
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