« Geffen on Mutual Fund Sales Notice Fees | Main | Broker Invents Investors for Broadway Production of Rebecca »
October 15, 2012
FINRA Requests Comments on Revised Proposal on Debt Research
FINRA seeks comment on a revised proposal addressing debt research conflicts of interest that includes amended exemptions for research distributed to certain institutional investors and for firms with limited principal debt trading activity. The revised proposal also includes other changes in response to comments on the prior proposal set forth in Regulatory Notice 12-09.
The text of the proposed rule can be found at www.finra.org/notice/12-42.
The comment period expires Dec. 10, 2012.
October 15, 2012 in Other Regulatory Action | Permalink
TrackBack
TrackBack URL for this entry:
http://www.typepad.com/services/trackback/6a00d8341bfae553ef017ee4305dc6970d
Listed below are links to weblogs that reference FINRA Requests Comments on Revised Proposal on Debt Research:
