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FINRA Requests Comment on Rules Governing Employees’ Outside Business Activities

On May 15, as part of a new review, the Financial Industry Regulatory Authority requested public comment on the effectiveness and efficiency of its rules governing the outside business activities and private securities transactions of employees of FINRA member firms.

FINRA is seeking feedback on various specified questions concerning the effectiveness and economic impact of the rules and the challenges of complying with them. Members of the public can submit their ideas and comments by emailing pubcom@finra.org or mailing FINRA’s Office of the Corporate Secretary. Comments must be received by June 29.

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About this Author

Janet M. Angstadt, Securities, Financial Services, Chicago, Lawyer, Katten Law FIrm
Partner

Janet M. Angstadt is the head of Katten's Chicago Financial Services practice. She focuses her practice on broker-dealer and exchange compliance issues and advises companies on matters regarding compliance with the regulations of the US Securities and Exchange Commission (SEC) and self-regulatory organizations (SROs).

Janet represents clients in a wide range of legal and regulatory matters, including mergers and acquisitions, SRO investigations, compliance issues related to registrations, sales practice, short sales, Regulation NMS, market-making and...

312.902.5494
Associate

Timothy Kertland concentrates his practice on transactional, corporate and regulatory aspects of financial services matters. Timothy is able to provide legal services to a wide variety of clients including proprietary trading firms, hedge funds, broker-dealers, registered investment advisers, and commodity trading advisers.

While in law school, Timothy served as an editor of the Virginia Tax Review. As a first-year law student, he represented the University of Virginia School of Law at the National Transactional LawMeets Competition.

312-902-5343