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Safe Harbor from Equity and Debt Research Rules

Summary

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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Submitted To

FINRA

Submitted By

SIFMA

Related Committee(s)

Date

31

May

2017

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