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SEC Approves FINRA's Outside Business Activity Plan
September 16, 2026 at 01:43 PM
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What You Need To Know
- The new Rule 3290 narrows the kinds of activities that are subject to the outside business activity requirements.
- The new rule treats activity at an unaffiliated RIA as an outside activity rather than an outside securities transaction, a big win for dually registered advisors, says lawyer Brian Rubin.
- FINRA's new rule should significantly ease the burden on compliance departments, says another lawyer, Ben Marzouk.
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