Title

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

Created date

12/11/2014

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.