SR-FINRA-2016-017

Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to clarify the application of the rule in four respects: (1) the consent requirement for institutional debt research reports distributed to non-U.S. investors by non-U.S. affiliates of members; (2) the consent requirement for institutional debt research reports distributed to specified persons for informational purposes unrelated to investing in debt securities; (3) the scope of the institutional debt research report exemption when distributing third-party debt research reports to eligible institutional investors; and (4) the disclosure requirements for debt research analysts in public appearances.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 106.7 KB
Notice of Filing and Immediate EffectivenessPDF - 207.16 KB