What is solicitation period?
Solicitation Period means the period during which the Debtors will seek to solicit votes to accept or reject this Plan.
What is finra2242?
The SEC approved the adoption of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to address conflicts of interest relating to the publication and distribution of debt research reports.
What is a solicitation period IPO?
In general, FINRA considers a solicitation period to begin when the issuer makes known that it intends to proceed with an IPO and ends when there is a bona fide awarding of the underwriting mandates.
What is regulation AC?
New Regulation Analyst Certification (“Regulation AC”) requires research analysts to certify in research reports for which they are responsible that the views expressed in the report accurately reflect the analyst’s personal views and to disclose whether or not the analyst received compensation or other payments in …
What is a research report finra?
(8) “Research report” means a written or electronic communication which includes an analysis of equity securities of individual companies or industries, and which provides information reasonably sufficient upon which to base an investment decision and includes a recommendation.
What is FINRA arbitration?
FINRA arbitrators listen to both sides of a securities-related dispute, weigh the facts and render a final and binding decision. Arbitrators are paid an honorarium for the cases on which they serve. FINRA arbitrators are independent contractors, not FINRA employees.
Do research reports have to be filed FINRA?
Accordingly, firms no longer are required to file with FINRA any research reports concerning only securities listed on a national securities exchange, such as reports concerning an exchange-listed closed-end fund or master limited partnership, other than research reports that must be filed pursuant to Section 24(b) of …
Can FINRA send you to jail?
FINRA is not a government organization, so it does not have the power to send people to jail (even if they violate FINRA’s terms).
Are FINRA rules binding?
The panel’s decision, called an “award,” is final and binding on all the parties. Awards are rendered by independent arbitrators who are chosen by the parties to issue final, binding decisions. FINRA makes available an arbitration forum—pursuant to rules approved by the SEC—but has no part in deciding the award.
What are the terms provided for the purposes of rule 2241?
2241. Research Analysts and Research Reports For purposes of this Rule, the following terms shall be defined as provided. (1) “Emerging Growth Company” has the same meaning as in Section 3 (a) (80) of the Exchange Act. (2) “Equity security” has the same meaning as defined in Section 3 (a) (11) of the Exchange Act.
What is the new rule 2241 for equity research?
On December 24, 2015 FINRA’s new equity research rule, Rule 2241, will go into effect. This rule modifies and expands the existing regulatory framework governing equity research, see FINRA’s release here. The key changes in the rules are below. 1) Identifying and Managing Conflicts of Interest FIN Home Exam Content Study Tips FINRA News
What is FINRA’s rule 2241?
On December 24, 2015 FINRA’s new equity research rule, Rule 2241, will go into effect. This rule modifies and expands the existing regulatory framework governing equity research, see FINRA’s release here.
Do you put commas in section 2241 of Title 28?
This section inserts commas in certain parts of the text of subsection (b) of section 2241 of title 28, U.S.C., for the purpose of proper punctuation. Section 1005 (e) of the Detainee Treatment Act of 2005, referred to in subsec.
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