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 ...
Financial Planning

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

Brokerages applaud a new rule that will relieve them of the obligation to monitor advisors' side gigs such as driving for Uber or bartending. But regulators say they still have plenty of obligations ...
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 ...
Financial Advisor

Finra Pushes Ahead On Performance Projections, Outside Activity Overhaul

The Financial Industry Regulatory Authority is advancing several high-profile rule changes, including new standards for performance projections and a rewrite of outside business activity requirements, ...
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 ...
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 ...