Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
FINRA seeks comment on a concept proposal to apply objectivity safeguards and disclosure requirements to the publication and distribution of debt research reports. The proposal has a tiered approach that generally would provide retail debt research recipients with most of the same protections provided to recipients of equity research, while exempting debt research provided solely to institutional investors from many of those provisions.
Questions concerning this Notice should be directed to:
- Philip Shaikun, Associate Vice President, Office of General Counsel (OGC), at (202) 728-8451; and
- Racquel Russell, Assistant General Counsel, OGC, at (202) 728-8363.
|Date||Commenter||Format - Size|
|4/1/2011||MCD Consulting||PDF - 336.57 KB|
|4/13/2011||Robert A. Muh||PDF - 61.2 KB|
|4/25/2011||PIABA||PDF - 117.28 KB|
|4/25/2011||St. John’s University School of Law||PDF - 47.06 KB|
|4/29/2011||D.A. Davidson & Co., Merriman Capital, Inc., & ThinkEquity LLC||PDF - 422.99 KB|
|4/29/2011||SIFMA||PDF - 80.63 KB|