Series 24: Disclosure In Public Appearances

Disclosure in Public Appearances

A research analyst must disclose in its public appearances:

• • Whether the analyst or a family member has a financial interest in the securities of the subject company and the nature of that interest
• • Whether the member firm or its affiliates beneficially own 1% or more of the company’s common stock
• • Whether the analyst has received compensation from the subject company over the same time period
• • Whether the subject company has been a cl