Regulatory Notice 15-31

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

Effective Date: February 22, 2016

On April 20, 2016, FINRA extended the implementation date from April 22, 2016, to July 16, 2016.

Executive Summary

The SEC approved the adoption of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to address conflicts of interest relating to the publication and distribution of debt research reports. Rule 2242 becomes effective on February 22, 2016.

The rule text is available at www‌.finra.org/notices/15-31.

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 15-31 Attachment A - Debt Research Rule TextPDF - 121.31 KB