News & Analysis as of

New Regulations Conflicts of Interest Disclosure Requirements

Bass, Berry & Sims PLC

New Organizational Conflict of Interest Regulations Coming Soon

Bass, Berry & Sims PLC on

On September 19, the Government Accountability Office (GAO) issued a report highlighting a gap in current Organizational Conflicts of Interest (OCIs) restrictions. According to the report, the Federal Acquisition Regulation...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Adopts Long-Anticipated Rules for SPACs: Considerations for Market Participants and SEC Enforcement Objectives in the New...

The rules, originally proposed in March 2022, realign disclosures, marketing practices and other obligations in de-SPAC transactions more closely with traditional IPOs and add increased risk and uncertainty for market...more

Health Care Compliance Association (HCCA)

[Event] Research Compliance Conference - June 8th - 10th, Anaheim, CA

Hear about the latest in research compliance - Do you want to learn… - How to prepare for upcoming changes in Medicaid? - Ways to build and maintain a better research compliance work plan for your program? - How...more

Latham & Watkins LLP

FINRA’s New Research Rules

Latham & Watkins LLP on

The new rules retain many of the current rules’ core requirements, but expand certain obligations and impose requirements on debt research activities for the first time. On August 26, 2015, the Financial Industry...more

Morgan Lewis

SEC Approves Long-Anticipated FINRA Research Rules

Morgan Lewis on

New FINRA Rule 2241 consolidates and expands upon legacy NASD and NYSE rules to address equity research analyst activities, equity research reports, and conflicts of interest relating to equity research analysts. New FINRA...more

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