FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of an Associated Person)...more
Background -
Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s (FINRA's) proposed Rule 2242 (the Rule or Rule 2242), which will...more
10/6/2015
/ Carve Out Provisions ,
Conflicts of Interest ,
Debt Securities ,
Disclosure Requirements ,
Due Diligence ,
Exemptions ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Investors ,
Investment Banks ,
Qualified Institutional Buyers ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
New FINRA Rule 2241 consolidates and expands upon legacy NASD and NYSE rules to address equity research analyst activities, equity research reports, and conflicts of interest relating to equity research analysts. New FINRA...more