December 22, 2018
Safe Harbor for the Distribution of Research Reports
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Source: Harvard Law School’s Forum on Corporate Governance and Financial Regulation
Brian D. Hirshberg, J. Paul Forrester, and Anna T. Pinedo discuss the SEC’s new rule establishing a non-exclusive research report safe harbor (“Rule 139b”) for unaffiliated brokers or dealers that publish or distribute research reports regarding qualifying investment funds in Harvard Law School’s Forum on Corporate Governance and Financial Regulation.
Reprinted with permission.
Reprinted with permission.
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