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This proposed update to the outside business activities disclosure requirement sounds great! The existing rules force financial institutions to overstep monitoring of employees' personal lives. For example, someone who has a hobby of buying Chuck E. Cheese tokens in bulk and then re-selling them on eBay to collectors should not need to disclose this activity to their employer.
Ms. Jennifer Piorko Mitchell Office of the CorporateSecretary FINRA
1735 K Street
Washington, DC 20006
Dear Ms. Mitchell,
Asan owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.
As the owner of a Registered Investment Advisory (RIA) firm and a registered representative of an affiliated FINRA member firm, I respectfully oppose proposed Rule 3290 in Regulatory Notice 25-05.
Dear Ms. Mitchell,
I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.