« SEC Issues First Report on Implementing Consultant's Recommendations | Main | SEC Forms Advisory Committee on Small Businesses »
September 13, 2011
FINRA's Recent Guidance on Prohibition Against Offering Favorable Research to Get Business
FINRA Regulatory Notice 11-41 (Sept. 2011):Research Analysts and Research Reports
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment
Banking Business:
Executive Summary
FINRA is reminding member firms of the need for heightened supervision
over solicitation and research activities in circumstances where an issuer
has communicated an expectation of favorable research as a condition of
participating in an offering.
September 13, 2011 in Other Regulatory Action | Permalink
TrackBack
TrackBack URL for this entry:
http://www.typepad.com/services/trackback/6a00d8341bfae553ef01543566699c970c
Listed below are links to weblogs that reference FINRA's Recent Guidance on Prohibition Against Offering Favorable Research to Get Business:
