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Stories of Interest
- Bitcoin Blows Past $2,500, $2,600, and $2,700
- 7-Point Checklist for Financial Services Firms to Protect Against Cyber Attacks - Michael Chertoff
- Reflections from FINRA Annual Conference - FINRA CEO Robert Cook
- Wells Fargo Advisors Creates New Mutual Fund Class for Fiduciary Rule
- HUD Sec'y Ben Carson: ‘Poverty is a State of Mind’ - Sheesh!
- Toronto-Dominion Posts Q2 Profit
- Deutsche Bank, Barclays Euribor Traders' Trial Delayed to 2018
- U.K.'s May to Raise Intel Leaks With Trump as Ties at Risk
- Piper's Andrew Duff is New FINRA Governor, As Expected
- Deutsche Bank Said Near Fed Deal on Russia; DOJ Probe Looms
- Status of SEC Administrative Law Judges Still In Doubt Following Denver Appeals Panel Ruling
- First Advertiser Pulls Ads from Sean Hannity’s Fox News Show
- Fate of Elizabeth Warren’s CFPB to be Decided by Legal Showdown
- CME Chair and CEO Terrence Duffy Suffers Collapsed Lung (WSJ Subsc)
- Photos from Trump's Visit With Pope Francis at The Vatican
- U.K. Scolds U.S. ‘Friends’ For Leaking Manchester Bomb Intelligence
- Trump to Retain Private Attorney Marc Kasowitz in Russia Investigation
- Pope Asks Trump to be Peacemaker, Gives Him Environmental Letter
- Bitcoin Hits All-Time High Above $2,400
- 'Soup Nazi' Company Executive Indicted for U.S. Tax Evasion
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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.