FINRA Research Rules

MoFo Classics Series

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

Banking + Financial Services, Corporate Finance | Capital Markets, Investment Management, and Financial Institutions + Financial Services


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Harrison Lawrence
(212) 336-4004

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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.

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