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ARTICLE · 30 MARCH 2011

Financial Services Alert - March 29, 2011

Goodwin Procter LLP
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FINRA has issued a request for comments (FRN 11-11) on a concept proposal for a rule to identify and manage conflicts of interest involving the preparation and distribution of debt research reports.

United StatesFinance and Banking
Robert Kurucza
Robert Kurucza

Developments of Note

  • FINRA Publishes Concept Proposal for Regulation of Debt Research Reports
  • Agencies in Process of Issuing Risk Retention Notice of Proposed Rulemaking
  • OCC Issues Bulletin Concerning Exchanging Other Real Estate Owned for Other Assets
  • FinCEN/Federal Banking Agencies Issue Guidance on Accepting Accounts from Foreign Embassies, Foreign Consulates and Missions

Other Items of Note

  • Goodwin Procter Issues Client Alert on California's Request for Comment on Proposal to Change Its Investment Adviser Registration Requirements
  • SEC Staff Issues Q&A on Pay to Play Rule

DEVELOPMENTS OF NOTE

FINRA Publishes Concept Proposal for Regulation of Debt Research Reports

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