Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: Research analyst

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Updates: Two Losers + One Positive Note = A Bad Week For Broker-Dealers

Posted in Administrative Proceedings, appeal, Disciplinary Process, Enforcement, FINRA, Research analyst, Rule 2242, Rule 2711, SEC
There have been some developments this week in a few matters on which I have previously offered my views. To help you stay on the cutting edge of financial world current events as you mingle at your upcoming Cinco de Mayo fiestas, here are three updates.  Two, not surprisingly, represent wins for the regulators.  The… Continue Reading

FINRA’s New Debt Research Report Rule, Or, In Other Words, When The Concept Of Managing “Conflicts Of Interest” Became Reality

Posted in Conflict of Interest, FINRA, Research analyst, Rule 2242, Rule 2711
Much like some people (well, me, anyway) enjoy debating what was the first “punk rock” song to go mainstream (Pump It Up, by Elvis Costello, of course), others more erudite than I prefer, instead, to argue about what it was that initially propelled FINRA down its current Enforcement oriented path. To me, the answer has… Continue Reading
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