The Securities and Exchange Commission (SEC) recently adopted rules and amendments designed to promote research on investment funds. These funds include mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, … Continue reading SEC Adopts Rules Promoting Research on Investment Funds
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 … Continue reading FINRA Rule 2242 Clarifications
The Securities and Exchange Commission (SEC) approved the adoption of FINRA Rule 2241 ( Research Analysts and Research Reports), a consolidated rule to address conflicts of interest relating to the … Continue reading SEC Approves Rule Addressing Conflicts of Interest in Research Reports
Chairman and CEO of Stifel and member of the SIFMA Board of Directors, testified on behalf of SIFMA this week before the House Financial Services Subcommittee on Capital Markets and … Continue reading SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens