FINRA Research Rules

MoFo Classics Series

02/24/2015 08:30 a.m. - 09:30 a.m. EST

Banking + Financial Services, Capital Markets, Investment Management, and Financial Institutions + Financial Services

Anna T. Pinedo

Anna T. Pinedo

Teleconference

Download Presentation Materials

Harrison Lawrence
hlawrence@mofo.com
(212) 336-4004

Listen to Presentation

We will review the SEC’s research rules, including Regulation AC, as well as FINRA’s existing equity research rules, proposed amendments to the equity research rules, and proposed new debt research rules. We also will discuss changes arising as a result of the JOBS Act, recent enforcement matters, and other developments.

CLE credit is pending.

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2017 Morrison & Foerster LLP. All rights reserved.