FINRA Proposes Rule Change to Modernize Rule 2720 on Conflicts of Interest | Practical Law

FINRA Proposes Rule Change to Modernize Rule 2720 on Conflicts of Interest | Practical Law

An update on a proposed rule change by FINRA to amend Rule 2720, which regulates potential conflicts of interest that exist with respect to the pricing of public offerings and the conduct of due diligence when a member participates in such offerings.

FINRA Proposes Rule Change to Modernize Rule 2720 on Conflicts of Interest

Practical Law Legal Update 2-386-0802 (Approx. 3 pages)

FINRA Proposes Rule Change to Modernize Rule 2720 on Conflicts of Interest

by PLC Corporate & Securities
Published on 08 May 2009 • USA (National/Federal)
An update on a proposed rule change by FINRA to amend Rule 2720, which regulates potential conflicts of interest that exist with respect to the pricing of public offerings and the conduct of due diligence when a member participates in such offerings.