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FINRA Rule 2242 Clarifications

July 16, 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 institutional debt research reports distributed to specified persons for informational purposes unrelated to investing in debt securities; (3) the scope of the institutional debt research report exemption when distributing third-party debt research reports to eligible institutional investors; and (4) the disclosure requirements for debt research analysts in public appearances.

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Date:
July 16, 2016
Event Category:
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Website:
www.finra.org

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FINRA
Website:
www.finra.org
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