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FINRA Publishes Notice Regarding Research

Posted in Research

As we previously reported, FINRA amended its rules relating to research in order to bring them in line with the changes brought about by the JOBS Act.  The SEC approved the FINRA rule changes, and earlier this week, FINRA published Notice 12-49, available here http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p196166.pdf.