Tag Archives: FINRA Rule 2242

FINRA Requests Comment on the Application of Certain Rules to Government Securities

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

Implementation Date of FINRA Rule 2242 Extended to July 16, 2016

The Securities and Exchange Commission approved the adoption of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to address conflicts of interest relating to the publication and distribution of debt research reports.  While FINRA Rule 2242 became effective on February 22, 2016, the implementation date has been pushed back to July 16, 2016. … Continue reading Implementation Date of FINRA Rule 2242 Extended to July 16, 2016

SEC Approves New FINRA Debt Research Analysts & Report Rules

The Securities and Exchange Commission (“SEC”), has approved the  adoption of new FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to address conflicts of interest relating to the publication and distribution of debt research reports. FINRA Rule 2242 (“Debt Research Rules”) represents a tiered approach that, in general, would provide retail debt research recipients with … Continue reading SEC Approves New FINRA Debt Research Analysts & Report Rules