Regulatory Notice 15-30

SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports

Effective Date: September 25, 2015, or December 24, 2015

Executive Summary

The SEC approved the adoption of FINRA Rule 2241 (Research Analysts and Research Reports), a consolidated rule to address conflicts of interest relating to the publication and distribution of equity research reports. Provisions of Rule 2241 become effective either on September 25, 2015, or December 24, 2015, as set forth below.

The rule text is available at www‌.finra.org/notices/15-30.

Questions regarding this Notice should be directed to:

  • Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8451; or
  • Jeanette Wingler, Assistant General Counsel, OGC, at (202) 728-8013

Related Documents: 

DateTitleFormat - Size
8/26/2015Regulatory Notice 15-30 Attachment - Equity Research Rule TextPDF - 177.75 KB