OBA
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FINRA proposes finalizing updates to outside business activity rules
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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FINRA Annual 2025: OBAs in the spotlight
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.