Charles Gittleman

Charles Gittleman

A&O Shearman

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FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

In late May, FINRA published a set of Frequently Asked Questions regarding its equity research rule, which address interactions between issuers, research analysts, and investment bankers in various stages of the offering...more

10/6/2015  /  Business Valuations , Conflicts of Interest , Equity Research Rule , Financial Analysts , Financial Industry Regulatory Authority (FINRA) , General Solicitation , Initial Public Offering (IPO) , Offerings , Public Offerings
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