• FINRA Expresses Concern About Issuers Inducing Favorable Research Coverage
  • September 28, 2011 | Author: Linda Riefberg
  • Law Firm: Fried, Frank, Harris, Shriver & Jacobson LLP - New York Office
  • The research analyst conflict of interest issue is back. This month, FINRA warned: It has come to FINRA’s attention that certain issuers may be attempting to extract implicit promises of favorable research by suggesting publicly or directly to potential deal participants in advance of an anticipated offering that positive research coverage will be an implicit or explicit condition to selection as an underwriter or selling group member.