Lanny A. Schwartz, a partner at Davis Polk & Wardwell in New York, and Jeffrey T. Dinwoodie, an associate in the firm's Washington, D.C., office, write that, prompted in part by allegations of misconduct associated with the sale of auction rate securities, FINRA has proposed debt research requirements for member broker-dealers.
New and Proposed Research Rules Create Compliance Challenges for Banks
New York Law Journal
May 13, 2013
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