Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Saturday, March 19, 2011

FINRA Seeks Comments on Debt Research Reports Concept Release

FINRA recently requested comment on a Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports.  According to the Executive Summary:

FINRA seeks comment on a concept proposal to apply objectivity safeguards
and disclosure requirements to the publication and distribution of debt
research reports. The proposal has a tiered approach that generally would
provide retail debt research recipients with most of the same protections
provided to recipients of equity research, while exempting debt research
provided solely to institutional investors from many of those provisions.

The comment period expires April 25, 2011.

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