Tag: FINRA

FINRA issues seven new FAQs regarding research conflict-of-interest rules

by Cydney Posner Last week, FINRA released seven new FAQs related to the research conflict of interest rules. In essence, FINRA analyzes the types of facts and circumstances that might be decisive in determining whether certain conduct or communications are prohibited under the conflict-of-interest rules. According to FINRA, the risks […]

Cydney Posner / June 1, 2015

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Tag: FINRA

FINRA issues seven new FAQs regarding research conflict-of-interest rules