Series 79: Restrictions On The Publication Of Research Reports And On Public Appearances

Taken from our Series 79 Top-off Online Guide

Restrictions on the Publication of Research Reports and on Public Appearances

Firms that participated in an IPO may not distribute a research report about the company, and research analysts may not make a public appearance regarding the company for 10 calendar days following the date of the offering. Firms that managed a secondary offering may not distribute a research report about the company, and research analysts may not make a public appearance regarding a sub

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