Tag Archives: Regulatory Notice 15-30

SEC Approves Rule Addressing Conflicts of Interest in Research Reports

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 publication and distribution of equity research reports, which may come into effect either September 25, 2015 or December 24, 2015.¬† In general, the rule retains¬† … Continue reading SEC Approves Rule Addressing Conflicts of Interest in Research Reports