Sacks, Russell D.; Blau, Steven R.; Nishide, Taro - In: Journal of Investment Compliance 17 (2016) 1, pp. 1-38
response to FINRA’s new fixed-income research rule, modifications to its equity research rule, and its FAQs regarding conflicts … of interest in the offering process. Design/methodology/approach Reviews FINRA’s new fixed-income research rule … Although significant exemptions may apply depending on firm structure, under FINRA’s new fixed-income research rule, firms …