Client Alert

The Financial Industry Regulatory Authority, Inc. recently announced the adoption of amendments to its equity research rules and entirely new rules governing debt research. The equity research amendments adopt current NASD Rule 2711 as new FINRA Rule 2241 with several modifications and also include amendments to NASD Rule 1050 and Incorporated NYSE Rule 344 to create an exception from the research analyst qualification requirement. The new debt research rule, FINRA Rule 2242, will be the first FINRA rule specifically governing debt research analysts and research reports. Minor changes were made to the original proposals following the public comment period.

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