• FINRA Repeals Rule 312(f) Relating to Recommendation by NYSE Member Firms of Affiliate Securities; Retains Broader Disclosure Requirement
  • October 28, 2009 | Authors: Abigail Arms; Robert Evans; Andrew R. Schleider; Charles S. Gittleman
  • Law Firms: Shearman & Sterling LLP - Washington Office ; Shearman & Sterling LLP - New York Office
  • On September 21, 2009, the Securities and Exchange Commission ("SEC") approved the adoption of certain consolidated FINRA rules relating to disclosures that are required in connection with specific securities transactions.