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
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.
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.
|Date||Title||Format - Size|
|11/26/2015||Attachment to Regulatory Notice 12-42||PDF - 101.36 KB|