Regulatory Notice 08-55

FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008

Executive Summary

As part of the process of developing a new, consolidated rulebook (the Consolidated FINRA Rulebook),1 FINRA is requesting comment on proposed research analyst conflict of interest rules.

 

The text of proposed FINRA Rules 1223 and 2240 is set forth in Attachment A.

 

Questions regarding this Notice should be directed to Philip Shaikun, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8451.

 

1 The current FINRA rulebook includes (1) NASD Rules and (2) rules incorporated from NYSE (Incorporated NYSE Rules) (together, the NASD Rules and Incorporated NYSE Rules are referred to as the Transitional Rulebook).While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (Dual Members). For more information about the rulebook consolidation process, see Information Notice 03/12/08 (Rulebook Consolidation Process).

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The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.


Comments By Date Received
Leerink Swann LLC (PDF 360 KB) 11/10/2008
Daniel H. Kolber (PDF 21 KB) 11/10/2008
Goodwin Procter LLP (PDF 150 KB) 11/11/2008
Dechert LLP (PDF 476 KB) 11/14/2008
SIFMA (PDF 105 KB) 11/14/2008