Loading Events

« All Events

  • This event has passed.

Initial Effective Date of FINRA Rule 2241 ( Research Analysts and Research Reports)

September 25, 2015

FINRA Rule 2241 ( Research Analysts and Research Reports) becomes effective as to the following provisions:

1.  Amendments to NASD Rule 1050 and Incorporated NYSE Rule 344.10 (registration of research analysts)

2. Rule 2241(b)(2)(I) and deletion of NASD Rules 2711(f)(1) through (5) and Incorporated NYSE Rules 472(f)(1) through (6) (quiet periods)

3. Rule 2241(j) (exemption for good cause)

4. Rule 2241.10 (divesting research analyst holdings)

5. Deletion of NASD Rule 2711(i) and Incorporated NYSE Rule 351 (annual attestation requirement)

All other provisions will become effective on December 24, 2015.

Click here for the full text of FINRA Regulatory Notice 15-30.

Details

Date:
September 25, 2015
Event Categories:
,
Event Tags:
,
Copyright© 2022 The LeGaye Law Firm P.C.