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SEC Seeks Comments on New FINRA Equity and Debt Research Rules

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December 2, 2014
Client Alert

The Securities and Exchange Commission is seeking comments on two new rule proposals by the Financial Industry Regulatory Authority, Inc. governing equity and debt research analysts and research reports. The equity research proposal would adopt current NASD Rule 2711 with several modifications as new FINRA Rule 2241. The debt research proposal would adopt new FINRA Rule 2242 as the first FINRA rule specifically governing debt research analysts and research reports.

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