Regulatory Notice 11-11

FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports

Comment Period Expired: April 25, 2011

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.
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: 
DateCommenterFormat - Size
4/1/2011MCD ConsultingPDF - 336.57 KB
4/13/2011Robert A. MuhPDF - 61.2 KB
4/25/2011PIABAPDF - 117.28 KB
4/25/2011St. John’s University School of LawPDF - 47.06 KB
4/29/2011D.A. Davidson & Co., Merriman Capital, Inc., & ThinkEquity LLCPDF - 422.99 KB
4/29/2011SIFMAPDF - 80.63 KB