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FINRA Proposes Revised Debt Security Research Rule

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October 17, 2012
Client Alert

The Financial Industry Regulatory Authority, Inc. recently issued a revised rule proposal to address debt research conflicts of interest. FINRA originally published a concept proposal on debt research in March 2011 followed by a formal rule proposal in February 2012. FINRA now seeks comment on a revised rule proposal 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. 

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