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SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown
  • USA
  • May 24 2018

On May 23, 2018, the Securities and Exchange Commission (the “Commission”) proposed establishing a research report safe harbor (Rule 139b) for


Market Structure and the Decline in Listed Companies
  • Mayer Brown
  • USA
  • April 25 2018

Recently, SIFMA held its Equity Market Structure conference, which addressed a broad range of issues. Of course, conference participants addressed


CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers
  • Katten Muchin Rosenman LLP
  • USA
  • December 15 2017

On December 11, at the request of the Futures Industry Association (FIA), the Commodity Futures Trading Commission's Division of Swap Dealer and


The FAIR Act: Providing a Safe Harbor for ETF Research Reports
  • K&L Gates
  • USA
  • December 4 2017

Investor demand for transparent, diversified, low-cost, passive investment products has accelerated over the last decade, and exchange-traded funds


FINRA Proposes Amendments to Communications Rule to Help Clarify Application to Debt Research Reports
  • Morrison & Foerster LLP
  • USA
  • June 28 2016

On June 24, 2016, FINRA proposed amendments to its communications rule, Rule 2210, to help clarify the application of Rule 2210 to debt research


FINRA Proposes Amendments to its New Debt Research Rule
  • Morrison & Foerster LLP
  • USA
  • May 25 2016

On May 24, 2016, FINRA proposed amendments to its new debt research rule (Rule 2422). The amendments are intended to clarify Rule 2422 in four


Research Analyst Fined by SEC for Falsely Rating Client to Keep Relationship
  • Katten Muchin Rosenman LLP
  • USA
  • February 21 2016

Charles Grom, a former managing director and equity research analyst at Deutsche Bank Securities Inc., agreed to settle charges brought by the


FINRA’s new debt and equity research rules herald wide-ranging changes for firms
  • Sidley Austin LLP
  • USA
  • November 12 2015

Following approval by the Securities and Exchange Commission (SEC) this summer, the Financial Industry Regulatory Authority, Inc.’s (FINRA) new rules


Getting ready for FINRA's new research rules: new requirements go into effect February 2016
  • Arnold & Porter Kaye Scholer LLP
  • USA
  • November 9 2015

The Financial Industry Regulatory Authority (FINRA) recently adopted new rules (particularly, Rule 2242), and changes to its existing rules


Structured products offerings and research reports
  • Morrison & Foerster LLP
  • USA
  • November 4 2015

Structured products are sold by broker-dealers, many of which are affiliates of large investment banks. The equity research group of the same