FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

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In late May, FINRA published a set of Frequently Asked Questions regarding its equity research rule, which address interactions between issuers, research analysts, and investment bankers in various stages of the offering process.

View full memo, FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

Authors and Contributors

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

New York

Jennifer D. Morton

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 5187

+1 646 645 3072

New York

Practices

Financial Institutions Advisory & Financial Regulatory

Practice