SEC Approves FINRA Rule 3290: What the New Outside Activities Rule Means for Broker-Dealers, Investment Advisers, and Funds
Friday, November 6, 2026 · first reported by Baker Donelson via JD Supra
The SEC has approved FINRA Rule 3290, titled Outside Activities Requirements, with approval dated September 15, 2026. The rule takes effect on October 25, 2027 and folds two existing rules into one: Rule 3270, covering outside business activities of registered persons, and Rule 3280, covering private securities transactions of an associated person.
Under the new rule, reportable activity is limited to investment-related activities. It also adds several exclusions for lower-risk activity.
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