May 16, 2017

FINRA Reviews Rules on Outside Business Activities and Private Securities Transactions

On May 15, 2017, FINRA issued Regulatory Notice 17-20 (RN-17-20) to request comment on the effectiveness and efficiency of its rules on outside business activities (OBA) and private securities transactions as part of a new retrospective rule review. RN-17-20 outlines the general retrospective rule review process and seeks responses to…

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