Series 7: 11.1.9.1 Distribution Of Third-Party Research Reports

Taken from our Series 7 Top-off Online Guide

11.1.9.1  Distribution of Third-Party Research Reports

When a member firm distributes research reports that are written by third parties, it must do the following:

  • Make sure the report is clearly labeled, so customers know it was written by another party, different from the firm.
  • Disclose any conflicts of interest between the third-party and the firm (this can be done b

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