Regulatory Notice 12-42

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

Comment Period Expired: December 20, 2012
Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.

FINRA seeks comment on a revised proposal addressing debt research conflicts of interest that includes amended exemptions for research distributed to certain institutional investors and for firms with limited principal debt trading activity. The revised proposal also includes other changes in response to comments on the prior proposal set forth in Regulatory Notice 12-09.

The text of the proposed rule can be found at www.finra.org/notices/12-42.

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.

Due to the disruption of normal business operations relating to Hurricane Sandy, FINRA is extending the deadline to provide comment to December 20, 2012. Original deadline: December 10, 2012.

Related Documents: 

DateTitleFormat - Size
7/5/2015Attachment to Regulatory Notice 12-42PDF - 101.36 KB
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
12/7/2012CFA InstitutePDF - 137.6 KB
12/20/2012The Alliance in Support of Independent ResearchPDF - 326.63 KB
12/21/2012BMO Capital MarketsPDF - 841.58 KB
12/21/2012Bond Dealers of AmericaPDF - 317.23 KB
1/4/2013SIFMAPDF - 886.67 KB