*Letters

Safe Harbor from Equity and Debt Research Rules

Published on:
May 31, 2017
Submitted to:
FINRA
Submitted by:
SIFMA
Committee:

SIFMA provided comments to FINRA on FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to create a limited safe harbor for certain written analysis that comes from sales and trading or principal trading personnel, but that may rise to the level of a “research report” under those rules.

See also:

FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary

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