Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

GAO has issued a report under Section 919A of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires that requires GAO to identify and examine potential conflicts of interest between investment banking and both equity and fixed-income (debt) research staff in the same firm. The report examines:

  • the effectiveness of the regulatory actions taken to address research analyst conflicts of interest, and
  • additional actions regulators could take to further address research analyst conflicts.

Check dodd-frank.com frequently for updates on the Dodd-Frank Act and other important securities law matters.

Leave a Reply

Your email address will not be published.