News & Media

Conflicts Regarding Research Recommendations, National Regulatory Services Fall Compliance Conference Sept. 2002

Because of the Enron debacle and its resulting publicity, and because of Congressional, SEC and industry pressure, the NASD developed and submitted to the SEC in record time Rule 2711, a new rule with respect to research conflicts. The new Rule 2711 is far more encompassing than the proposals to amend NASD Rule 2210 set […]

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