Shearman & Sterling LLP multinational law firm headquartered in New York City, United States.

balance scale

Oct 05, 2015

FINRA’s New Fixed Income Research Rule (Rule 2242) and Modifications to Equity Research Rule (Rule 2241)

Subscribe

Jump to...

 
The long anticipated overhaul of FINRA’s research rules has now been approved by the SEC. Most provisions of the new equity research rule (FINRA Rule 2241) will become effective on December 24, 2015, with limited provisions, including changes to equity research quiet periods, having already gone into effect on September 25, 2015. The fixed income research rule (FINRA Rule 2242) will become effective on February 22, 2016. Firms will be reviewing and revising their policies and procedures in response to the new rules. The requirements of the fixed income research rule will also require a cultural shift at some firms.

View full memo, FINRA’s New Fixed Income Research Rule and Modifications to Equity Research Rule

Authors and Contributors

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York

Reena Agrawal Sahni

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7324

+1 212 848 7324

New York

Barnabas Reynolds

Partner

Financial Institutions Advisory & Financial Regulatory

+44 20 7655 5528

+44 20 7655 5528

London

Thomas Donegan

Partner

Financial Institutions Advisory & Financial Regulatory

+44 20 7655 5566

+44 20 7655 5566

London

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

+1 212 848 7317

New York

Jennifer D. Morton

Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 5187

+1 212 848 5187

New York

Oliver Linch

Senior Associate

Financial Institutions Advisory & Financial Regulatory

+44 20 7655 5715

+44 20 7655 5715

London

Jenny Ding Jordan

Associate

Financial Institutions Advisory & Financial Regulatory

+1 212 848 5095

+1 212 848 5095

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