FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule
Client Memorandum

Created date


The Financial Industry Regulatory Authority recently filed with the Securities and Exchange Commission a proposal to consolidate and amend FINRA's current equity research rules and a separate revised proposal to establish a debt research rule. The main differences between FINRA's Current Equity Rules and the Proposed Equity and Debt Rules are outlined in the chart attached to the following Memo.