FINRA has extended the implementation date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) from February 22, 2016, to April 22, 2016. See Regulatory Notice 15-31. FINRA Rule 2242 is intended to foster objectivity and transparency in debt research and to provide investors with more reliable and useful information to make investment … Continue reading FINRA Rule 2242: New Implementation Date
FINRA has extended the implementation date for FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) from February 22, 2016 to April 22, 2016.
SR-FINRA-2016-017 From the Rule Filing Status Report , a change to amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) will be to clarify the application of the rule in four respects: (1) the consent requirement for institutional debt research reports distributed to non-U.S. investors by non-U.S. affiliates of members; (2) the consent requirement for … Continue reading FINRA Rule 2242 Clarifications
FINRA is requesting comment on the application of the following rules to government securities, including U.S. Treasury securities: FINRA Rules 2242 (Debt Research Analysts and Debt Research Reports); 5240 (Anti- Intimidation/Coordination); 5250 (Payments for Market Making); 5270 (Front Running of Block Transactions); 5280 (Trading Ahead of Research Reports); 5320 (Prohibition Against Trading Ahead of Customer … Continue reading FINRA Requests Comment on the Application of Certain Rules to Government Securities