Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Updates Rule 147 was implemented in 1974 to provide an exemption from registration for issuers doing business within a single state, and offering …
Category: Series 87
A Short Exam Does Not Necessarily Make for an Easy Exam. This is certainly the case with the Series 87, FINRA’s qualification exam for Research Analyst’s. This statement summarizes FINRA’s Series 87 exam for Research Analyst to a …
On December 24, 2015 FINRA’s new equity research rule, Rule 2241, will go into effect. This rule modifies and expands the existing regulatory framework governing equity research, see FINRA’s release here. The key changes in the rules are …
New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings, – eliminate the quiet periods surrounding lock-up agreements, and – exempt certain debt research reports issued to institutional …
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