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Mar 18, 2013

Thinking Ahead: Breaking Down FINRA’s Revised Proposed Fixed-Income Research Rule

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In the fourth quarter of 2012, FINRA published Regulatory Notice 12 42 (the “Revised Proposal”), amending its proposal for substantive regulation of fixed-income research by FINRA-member firms. The Revised Proposal represents the revision of FINRA’s earlier proposal, and modifies that proposal in meaningful ways.

View full memo, "Thinking Ahead: Breaking Down FINRA’s Revised Proposed Fixed-Income Research Rule"

Authors and Contributors

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

+1 212 848 7317

New York

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York

Steven Blau

Associate

Financial Institutions Advisory & Financial Regulatory

+1 212 848 8534

+1 212 848 8534

+1 416 360 2154

+1 416 360 2154

New York