Morgan, Lewis & Bockius·SECURITIES / CAPITAL MARKETS
SEC Approves FINRA Rule 3290 Overhauling Broker-Dealer Outside Activity Rules
The SEC has approved FINRA's proposal to replace Rules 3270 and 3280 with a single Rule 3290 governing registered persons' outside business activities and private securities transactions.
sec-finra-rule-3290broker-dealer-complianceoutside-business-activitiesprivate-securities-transactionssecurities-regulation
Read the original firm alert → Wednesday, October 7, 2026