Russell D. SacksReena Agrawal SahniBarnabas W.B. ReynoldsThomas DoneganCharles S. GittlemanJennifer D. MortonOliver LinchJenny DingSteven Blau
The Financial Industry Regulatory Authority (FINRA) recently adopted new rules (particularly, Rule 2242), and changes to its existing rules (particularly, Rule 2241), that govern the creation and distribution of research reports on debt and equity securities, as well as public appearances by resea...
FINRA 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 its equity ...
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 ...