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Expert Analysis

2 FINRA Rules Ripe For Review And Clarification

By Richard Kerr, C. Dirk Peterson, Eden Rohrer, Xiomara Corral and Emilie Oberlis ( June 28, 2017, 2:35 PM EDT) -- The Financial Industry Regulatory Authority recently issued a notice requesting comments on the effectiveness and efficiency of its Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person) (collectively, the "rules").[1] This retrospective review of the rules is further evidence of FINRA's belief that it is appropriate to review its significant rulemaking actions after an appropriate period to confirm that FINRA regulations are meeting the intended investor-protection goals....

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