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Stories of Interest
- ‘A Bleak Picture’ for Women Trying to Rise at Law Firms
- How Golf Superstar Jordan Spieth, 23, Spends Time and Millions
- Goldman Sachs Retreats as a Top Lead Market Maker for ETFs
- In-House Counsels: Top 30 Money-Earners
- Ivanka Trump Retains White Collar Defense Lawyer Abbe Lowell
- Ameriprise Financial Reports Higher Q2 Profits, Revenues
- SEC Announces $2.5 Million Whistleblower Award
- Another Russian Connection for a Trump Nominee - Brian Benczkowski, Picked to Lead DOJ Criminal Division
- 3 From BigLaw Chosen as SDNY Magistrate Judges
- Morgan Stanley Tops Goldman in Market Value for First Time in 10 Years
- Former DOJ Official on Evolution of Corporate Compliance
- T+2 Settlement - FINRA User Acceptance Tests
- LedgerX Approved as Derivative Clearing Organization - CFTC
- Trump, ObamaCare and the Art of the Fail - Peggy Noonan
- Bryan Wood to Head SEC Office of Legislative and Intergov'tal Affairs
- BATS Market Close v. NYSE and Nasdaq
- Inside Scaramucci’s Extreme Loyalty to Trump – William Cohan
- Who President Trump Can Pardon, and Who He Can’t
- Ex-UBS Compliance Officer, Day Trader Deny Insider Trading
- Private Equity’s Big Bets on Financial Tech
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Rules & Regulations
FINRA Rules on Outside Business and Private Securities Transactions – Comments Please
How effective and efficient are FINRA’s rules governing the outside business activities and private securities transactions of broker-dealer employees? As part of its FINRA360 initiative, the regulator is conducting a "Retrospective Rule Review" in which it seeks answers to the following questions:
- Have the rules effectively addressed the problem(s) they were intended to mitigate? To what extent have the original purposes of and need for the rules been affected by subsequent changes to the markets, the delivery of financial services, the applicable regulatory framework, or other considerations? Are there alternative ways to achieve the goals of the rules that should be considered?
- What have been experiences with implementation of the rule set, including any ambiguities in the rules or challenges to comply with them?
- What have been the economic impacts, including costs and benefits, arising from FINRA’s rules? Have the economic impacts been in line with expectations described in the rulemaking? To what extent would these economic impacts differ by business attributes, such as size of the firm or differences in business models?
- Can FINRA make the rules, interpretations or attendant administrative processes more efficient and effective?
Please submit your comments by 6/29/17.