Client Alert

The Securities and Exchange Commission is seeking comments on two new rule proposals by the Financial Industry Regulatory Authority, Inc. governing equity and debt research analysts and research reports. The equity research proposal would adopt current NASD Rule 2711 with several modifications as new FINRA Rule 2241. The debt research proposal would adopt new FINRA Rule 2242 as the first FINRA rule specifically governing debt research analysts and research reports.

Related Practices

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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