Securities Law Prof Blog

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

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Tuesday, 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.

http://lawprofessors.typepad.com/securities/2011/09/finras-recent-guidance-on-prohibition-against-offering-favorable-research-to-get-business.html

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