Series 79: Research Analysts And Research Reports

Taken from our Series 79 Top-off Online Guide

Research Analysts and Research Reports

FINRA Rule 2241 requires member firms to establish and enforce written policies and procedures that manage conflicts of interest in the research analyst job function. These policies and procedures should focus on three critical areas:

• The preparation and distribution of research reports
• Public appearances by research analysts
• The interaction of research a

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