New FINRA Equity and Debt Research Rules: Key Compliance Issues

 Recorded: November 10, 2015

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The Financial Industry Regulatory Authority has adopted amendments to its equity research rules and an entirely new debt research rule, which covers research on corporate and sovereign debt, but not municipal or U.S. Treasury securities or security-based swaps. In order to implement the new requirements, chief compliance officers and other compliance professionals will need to revise existing policies and procedures, and adopt new ones. In some cases— particularly for firms that publish debt research— organizational changes within the firm may be required, including, potentially, modifying reporting lines, compensation processes and communication flows.

In this webinar, Practical Law and Lanny Schwartz and Jeff Dinwoodie from Davis Polk’s Financial Institutions Group will discuss FINRA’s new equity and debt research rules, with an emphasis on key compliance considerations for implementing the new rules.

A brief Q&A will follow.



Lanny Schwartz, Davis Polk & Wardwell LLP

Jeff Dinwoodie, Davis Polk & Wardwell LLP


Greg Gnall, Practical Law Capital Markets & Corporate Governance


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