Regulatory Notice 12-09
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
FINRA seeks comment on a revised debt research conflicts of interest proposal that reflects changes based on comments to a concept proposal discussed in Regulatory Notice 11-11. The revised proposal maintains a tiered approach based on whether debt research is distributed to retail or institutional investors. Debt research distributed to retail investors would carry most of the same protections provided to recipients of equity research, while institutional investors could opt in to a framework that exempts such research 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||Title||Format - Size|
|8/28/2015||Attachment to Regulatory Notice 12-09||PDF - 46.94 KB|
|Date||Commenter||Format - Size|
|4/2/2012||Bond Dealers of America||PDF - 319.21 KB|
|4/2/2012||Aidikoff, Uhl & Bakhtiari||PDF - 325.11 KB|
|4/2/2012||SIFMA||PDF - 178.5 KB|
|4/2/2012||Alliance in Support of Independent Research||PDF - 236.63 KB|
|4/6/2012||Romano Brothers & Co.||PDF - 189.84 KB|
|4/5/2012||Wulff, Hansen & Co.||PDF - 321.41 KB|
|4/10/2012||Bingham McCutchen LLP||PDF - 370.6 KB|