Try our Advanced Search for more refined results

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....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!