Nicole Alkire

Nicole Alkire

Morgan Lewis

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FINRA Proposes Single Rule to Replace FINRA Rules 3270 and 3280

FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person)...more

3/26/2025  /  Broker-Dealer , Cryptocurrency , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Investment , Investment Adviser , Proposed Rules , Regulatory Requirements , Reporting Requirements
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