SEC Seeks Comments on FINRA Proposed Rule Changes Addressing External Personal Accounts of Associated Persons

August 14, 2015
Client Alert

The Securities and Exchange Commission is seeking comments on proposed rule changes by the Financial Industry Regulatory Authority, Inc. addressing external personal accounts opened or established by associated persons of FINRA member firms. The proposal includes the adoption of FINRA Rule 3210 and the deletion of existing NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and related rule interpretations. 

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