Russell D. SacksReena Agrawal SahniBarnabas W.B. ReynoldsThomas DoneganCharles S. GittlemanJennifer D. MortonOliver LinchJenny DingSteven Blau
The new debt research rule (Rule 2242) and the changes to the existing equity research rule (Rule 2241) are focused on a Member firm's awareness and proactive management of the conflicts of interest created by its overall structures and activities, including trading operations, and not just t...
FINRA Rule 2242FINRA Rule 2241FINRA research rulesFINRA research FAQsFinancial Industry Regulatory Authority (FINRA)PurposeTo address practical issues broker-dealers may face in reviewing and revising their policies and procedures in response to FINRA's new fixed-income research rule, modifications to ...
Purpose To analyze the changes to the FINRA equity research rules and evaluate concerns that may be important to and impact on equity research activities following the effective date. Design/methodology/approach This article provides an overview of the changes reflected in FINRA Rule 2241 pertaining ...