Series 24: 4.6.9. Retaliation Against Research Analysts Prohibited

Taken from our Series 24 Online Guide

4.6.9. Retaliation Against Research Analysts Prohibited

No member firm or employee involved in its investment banking activities may retaliate against or threaten any research analyst employed by the firm or its affiliates because of a negative or unfavorable report or a public appearance that may adversely affect the firm’s investment banking activities.

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