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A few of GRIP’s legal and compliance expert sources shared their thoughts on AI, prediction markets, and reaching out to the regulators.
OBA
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
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The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.