Browsing: Fixed Income Research

FINRA Suggests Changes to Fixed-Income Research Rules

New York, NY – An article published last week in the Financial Times indicates that US financial regulators are planning to issue new rules in the next few weeks requiring ...

Fixed Income Insider Trading

As we discussed yesterday, insider trading laws and enforcement actions are not confined to equity markets.  Although not widely recognized, there is precedent for both criminal and civil insider trading ...

Caveat Emptor

A recent post from a buy side analyst is a good illustration of the investment process and the tension between the buy and sell side.  All buyers need to understand ...

Moody’s Buys Majority of Copal

New York, NY – Early last week, New York-based ratings agency Moody’s Corp. acquired a majority stake in Indian research outsourcing firm Copal Partners for an undisclosed sum.  The investment ...

Regulating Debt Research

New York – A lively topic at the recent SIFMA compliance conference was a FINRA concept release creating more regulation of debt research.  The new regulation would create barriers between ...

Moody’s Buys

New York, NY – News last week that Moody’s Corp. had inked a deal to acquire reflects the growing impetus of research companies to consolidate in the current environment. ...
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