FINRA Fines Morgan Stanley for Research Omissions

FINRA, the Financial Industry Regulatory Authority, last week fined Morgan Stanley $800,000 for issuing research reports between 2006 and 2010 that failed to disclose relationships between the bank or its analysts and companies covered in those reports, as well as for not disclosing the availability of independent, third-party research during 2007 and 2008, as required under the terms of the 2003 Research Analyst Settlement. In addition to the fine, the bank must review and certify that its

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