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SR-FINRA-2026-022
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 2220, 2351, 2357, 2360, and 4210 to address binary options, options whose payout is based on specified metrics, and options cleared by a registered clearing agency other than The Options Clearing Corporation.
2019061942901_Colletti_4577898_SEC_jhjr.pdf
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 106711 / October 21, 2026 Admin. Proc. File No. 3-22491 In the Matter of the Application of MICHAEL CIRO COLLETTI For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING FINRA found associated person of member firm violated FINRA rules by engaging in unauthorized and excessive trading in a customer’s account. Held, FINRA’s findings of violations and sanctions are affirmed.
Regulatory Notice 26-20
Summary
FINRA has adopted new Rule 3290 (Outside Activities Requirements) to replace Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person). Rule 3290 consolidates and streamlines the requirements governing registered persons’ outside activities and associated persons' outside securities transactions.
The effective date of Rule 3290 is October 25, 2027.