The SEC has approved FINRA Rule 3290, which will replace Rules 3270 and 3280 and introduce a new framework for how firms address outside activities and outside securities transactions. While FINRA has not yet announced an effective date, firms can begin preparing now.
Download the FINRA Rule 3290 Readiness Checklist for practical steps to help your firm:
- Evaluate what activities will fall within the new rule
- Review and update your assessment criteria
- Prepare disclosure forms and workflows
- Keep Form U4 reporting requirements in view
- Plan policy, training, communication, and system updates
- Prepare for the transition from Rules 3270 and 3280
Get the checklist and start preparing for Rule 3290.
About RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.