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 [email protected] or mailing FINRA’s Office of the Corporate Secretary. Comments must be received by June 29.