Title

FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum

Created date

4/27/2017

FINRA has published a regulatory notice requesting comment on a long-awaited proposal to create a safe harbor that will exempt qualifying desk commentary from most of its equity and debt research rules.  Comments on the proposal, which has been proposed for member comment but not submitted to the SEC as a rule filing, are due by May 30, 2017.