Jennifer Morton

Jennifer Morton

Shearman & Sterling LLP

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Latest Posts › FINRA


FINRA’s New Fixed Income Research Rule and Modifications to Equity Research Rule

The long anticipated overhaul of FINRA’s research rules has now been approved by the SEC. Most provisions of the new equity research rule will become effective on December 24, 2015, with limited provisions, including changes...more

10/6/2015 - Equity Investors Equity Research Rule FINRA Fixed Income Investments Investment Banks IPO

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 FINRA General Solicitation IPO Offerings Public Offerings

FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring...

On May 27, 2015, FINRA solicited comment on a proposed rule (the “proposed rule”) that would require a firm to which a representative has recently transferred to provide material prepared by FINRA (the “FINRA Disclosure...more

8/3/2015 - Comment Period Compensation Agreements Disclosure Requirements Employment Contract FINRA Proposed Regulation Transfers

SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

On September 25, 2014, the U.S. Securities and Exchange Commission (the “SEC”) solicited public comment on proposed FINRA rule changes (the “proposal”) that would substantively amend existing NASD and NYSE rules regarding...more

10/15/2014 - FINRA NASD NYSE Public Comment Registration SEC

Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems to Report Activity Weekly

US-registered broker-dealers that operate Alternative Trading Systems will have to report volume information, by security, to FINRA weekly. The first report, for the week of May 12, 2014, is due May 28, 2014. ATS will, by...more

3/17/2014 - Alternative Trading Systems FINRA Market Participants SEC

FINRA Proposes Amendment to Corporate Financing Rule and Conflict of Interest Rule

FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry. FINRA has...more

2/14/2014 - Broker-Dealer Conflicts of Interest Corporate Financing Rule FINRA

SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

Introduction - On November 27, 2013, the Securities and Exchange Commission (“SEC”) approved a change (the “Amendment”) to FINRA’s IPO allocation rule 5131 (the “Rule”).The Amendment allows a fund-of-funds to rely on a...more

12/9/2013 - FINRA Investment Funds Investors IPO SEC

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