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Securities › Rulemaking Process › Financial Industry Regulatory Authority (FINRA)

Davis Wright Tremaine LLP

FINRA Proposes a Unified Rule for Outside Business Activities and Private Securities Transactions

Davis Wright Tremaine LLP on

FINRA proposes a new rule to simplify requirements in Rules 3270 and Rule 3280, aiming to reduce unnecessary burdens. The structure of Proposed FINRA Rule 3290 requires prior written notice for investment-related activity...more

Broker-Dealer Compliance + Regulation

FINRA and T+2: The Rule Roll-Out Begins

Broker-Dealer Compliance + Regulation on

As the U.S. financial markets commence their move towards a T+2 settlement period, FINRA has introduced a proposed set of rule changes designed to support this change. The current timetable contemplates that the changes...more

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