News & Analysis as of

Initial Public Offering (IPO) Financial Industry Regulatory Authority (FINRA) General Solicitation

Morgan Lewis

FINRA Publishes Guidance on Research Conflict of Interest Rules

Morgan Lewis on

FINRA explains the risk levels associated with communications regarding potential investment banking transactions: from low to high to “unmanageable.” On May 27, the Financial Industry Regulatory Authority (FINRA)...more

Morrison & Foerster LLP - JOBS Act

FINRA Research Rule Guidance: The New Stages of Grief

Many market participants were left in a quandary following FINRA enforcement actions in connection with member firm research analyst “participation” in meetings with prospective issuers. Recently, FINRA published a handful...more

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