Regulatory Notice 17-20

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions

Comment Period Expires: June 29, 2017

Executive Summary

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.

 

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
5/17/2017Symphony Financial TeamPDF - 50.93 KB
5/17/2017Kenmar AssociatesPDF - 27.81 KB
5/17/2017Whitehall-Parker Securities, Inc.PDF - 39.02 KB
5/18/2017Great Nation Investment Corp.PDF - 42.41 KB
5/29/2017SageTrader, LLCPDF - 821.33 KB
6/8/2017Janet PetriPDF - 20 KB
6/19/2017Imhoff Consulting Project LLCPDF - 86.96 KB
6/20/2017Ouisa Capital, LLCPDF - 204.91 KB
6/22/2017International Asset Advisory, LLCPDF - 163.41 KB
6/25/2017William LanePDF - 12.65 KB
6/27/2017NPB Financial Group, LLCPDF - 67.83 KB
6/27/2017The Leaders Group, Inc.PDF - 121.11 KB
6/29/20171st GlobalPDF - 367.31 KB
6/29/2017NSCPPDF - 355.71 KB
6/29/2017NASAAPDF - 232.67 KB
6/29/2017SIFMAPDF - 698.46 KB
6/29/2017The Committee of Annuity InsurersPDF - 157.3 KB
6/29/2017NRSPDF - 318.35 KB
6/29/2017Financial Services InstitutePDF - 152.37 KB
6/29/2017ForesidePDF - 138.13 KB
6/29/2017PIABAPDF - 191.9 KB
6/30/2017Commonwealth Financial NetworkPDF - 149.91 KB
6/30/2017First Asset Financial Inc.PDF - 52.14 KB
6/30/2017Integrated Management SolutionsPDF - 153.37 KB
6/30/2017Harley Capital ManagmentPDF - 29.5 KB
7/10/2017Monahan & Roth, LCCPDF - 68.2 KB