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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. FINRA Regulatory Notice 12-04
    SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
    Date posted: 1/9/2012
  2. FINRA Regulatory Notice 12-05
    Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
    Date posted: 1/9/2012
  3. FINRA Regulatory Notice 11-41 - Research Analysts and Research Reports
    FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
    Date posted: 9/13/2011
  4. FINRA - Regulatory Notice 11-18 Continuing Education Planning
    On April 14, 2011, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory (FEA) (see Regulatory Notice 11-18).
    Date posted: 4/15/2011
  5. NYSE Information Memo 03-61
    Rule 344 - Research Analyst Qualification Examination Requirement ("Series 86/87")
    Date posted: 12/31/2003
  6. 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
  7. NYSE Information Memo 03-12
    RULES 351 (Reporting Requirement) & 472 (Communications with the Public)
    Date posted: 3/25/2003