Financial Services Industry
Industry: Email Alert RSS FeedSEC Clears Up Research Doubts
Commercial Mortgage Alert, February, 1997
The SEC is for the first time spelling out the conditions that dealers must meet when publishing research associated with upcoming CMBS offerings.
In response to a request from the Public Securities Association, the commission will specify its guidelines today, when it issues a statement of "interpretive relief." The Wall Street trade group has been negotiating with the SEC on the matter since early last year.
The SEC document will represent a degree of relief from federal rules that prohibit dealers from "conditioning" the market with favorable research in advance of a securities offering. The statement is expected to boost the research output of firms that had been conservatively interpreting the old rules. But it should rein in others that have...
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