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November 9, 2007
SEC Approves New Rule on Fairness Opinions
FINRA issued Regulatory Notice 7-54, announcing that effective December 8, 2007, new NASD Rule 2290 (Fairness Opinions) requires specific disclosures and procedures addressing conflicts of interest when member firms provide fairness opinions in change of control transactions, such as a merger or sale or purchase of assets.
November 9, 2007 in Other Regulatory Action | Permalink
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