Regulatory Notice 17-20
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
FINRA is conducting a retrospective review of the rules governing outside business activities and private securities transactions to assess their effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with these specific rules.
Questions regarding this Notice should be directed to:
- Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8451;
- James S. Wrona, Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8270;
- Meredith Cordisco, Associate General Counsel, Office of General Counsel, at (202) 728-8018; or
- Lori Walsh, Deputy Chief Economist, Office of the Chief Economist, at (202) 728-8323.