Series 24: 4.6.3. Restrictions On Research Analysts

Taken from our Series 24 Online Guide

4.6.3.  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 ban

Since you're reading about Series 24: 4.6.3. Restrictions On Research Analysts, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 24
Please Enable Javascript
to view this content!