Series 24: 4.6.2. Firewall Between A Member Firm And A Subject Company

4.6.2. Firewall Between a Member Firm and a Subject Company

FINRA also requires a firewall to be established between a member firm and a company that is the subject of a research report. A member firm may not submit any portion of a research report to the company prior to the publication, except as necessary to verify the factual accuracy of its information. If sections of a report must be submitted, th