As a part of its retrospective review process, FINRA requested comments on Rules 3270 ("Outside Business Activities of Registered Persons") and 3280 ("Private Securities Transactions of an Associated Person"). The purpose of the request is to help FINRA evaluate the effectiveness of the rules and consider whether any guidance or amendments are needed. The Rules address the business and securities activities of member employees that take place outside the employees' firms.
Comments are due by June 29, 2017.
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