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

balance scale

May 26, 2016

FINRA Proposes Revisions to Fixed-Income Research Rule

Subscribe

Jump to...

 
On May 24, 2016, FINRA filed with the SEC proposed revisions to FINRA’s new fixed-income research rule that if adopted will provide clarifying guidance regarding institutional third-party research, as well as relief in other respects including research distribution for informational purposes, institutional-only public appearances, and distributions by non-U.S. affiliates to non-U.S. institutional customers.  The fixed-income research rule is scheduled to take effect July 16, 2016.

View full memo, FINRA Proposes Revisions to 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

Jennifer D. Morton

Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 5187

+1 212 848 5187

New York

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

+1 416 360 2154

+1 416 360 2154

Toronto