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Research Analysts

New rules regarding Research Analysts and research reports have been implemented in order to improve the objectivity of research and provide investors with more useful and reliable information when making investment decisions.

  1. NYSE Information Memo 03-61
    Rule 344 - Research Analyst Qualification Examination Requirement ("Series 86/87")
    Date posted: 12/31/2003
  2. SEC Notice: NASD & NYSE Rulemaking
    Order Approving Proposed Rule Changes by the NYSE, Inc. Relating to Exchange Rules 344, 345A, 351 and 472 and by the NASD, Inc. Relating to Research Analyst Conflicts of Interest and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 3 to the Proposed Rule Change by the NYSE, Inc and Amendment No. 3 to the Proposed Rule Change by the NASD, Inc. Relating to Research Analyst Conflicts of Interest
    Date posted: 7/31/2003
  3. NYSE Information Memo 03-12
    RULES 351 (Reporting Requirement) & 472 (Communications with the Public)
    Date posted: 3/25/2003