Series 24: Restrictions On Research Analysts

Taken from our Series 24 Online Guide

Restrictions on Research Analysts

No research analyst may participate in the solicitation of investment banking business. Nor may a research analyst communicate with a customer or prospective customer about an investment banking transaction in the presence of the firm’s management or investment banking department personnel. Similarly, investment banking personnel are forbidden from directing a research analyst either to participate in soliciting investment banking bu

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