JD Supra

SEC Approves FINRA Rule 3290, Reshaping Outside Activity Rules for Broker-Dealers

The US Securities and Exchange Commission (SEC) recently approved the Financial Industry Regulatory Authority’s (FINRA’s) proposal to replace ...
Purdue University

Reminder: Reportable Outside Activities disclosure required for 2023-24

Faculty and staff are reminded to disclose their Reportable Outside Activities for the current fiscal year, which began July 1 and ends June 30, 2024, through the online reporting system. The online ...
Purdue University

Reminder: Reportable Outside Activities disclosure required

Faculty and exempt staff are required to disclose all Reportable Outside Activities at these times: Before engaging in any new Reportable Outside Activity; On an annual basis at the beginning of the ...
JD Supra

FINRA Proposes Overhaul of Outside Activities Rules

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed a new rule (the “Proposal”) that would consolidate and modernize its rules governing outside business activities and private ...
American Banker

SEC warns new outside activity rule isn't a free-for-all

In lifting brokerages' long-standing obligation to keep tabs on advisors' side gigs as weekend bartenders or Uber drivers, the SEC insists it's not allowing for a free-for-all. Processing Content The ...