FINRA Rule 3280

FINRA enforcement activity covering October 10 – 23.

SEC approves FINRA’s overhaul of OBA rules, easing oversight of low-risk side jobs while preserving scrutiny of investment activities.

Disciplinary decisions issued August 1 – 21, 2026.

Disciplinary decisions issued February 7 – 20, 2026.

The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.

Disciplinary decisions issued January 31 – February 6, 2026.

Disciplinary decisions issued December 20 – 31, 2025.

Disciplinary decisions issued October 4 – 10, 2025.