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- Rule 2711. Research Analysts and Research Reports (a) Definitions For purposes of this rule. the following terms shall be defined as provided. (1) “Investment banking department” means any department or division. whether or not identified as such. that performs any investment banking service on behalf of a member. (2) “Investment banking services” include. without limitation. acting as . . .
- Amendments to NASD Rule 2711 and NYSE Rule 472. enacted in May 2002. mandate that sell-side analysts disclose the distribution of their security recommendations by category of buy. hold. and sell. This regulation enhances the transparency of analysts’ information and mitigates the long-recognized optimistic bias in their recommendations.
- Amendments to NASD Rule 2711 and NYSE Rule 472. enacted in May 2002. mandate that sell‐side analysts disclose the distribution of their security recommendations by buy. hold and sell category. This regulation enhances the transparency of analysts’ information and mitigates the long‐recognized optimistic bias in their recommendations.
- Download Citation | The Impact of NASD Rule 2711 and NYSE Rule 472 on Analyst Behavior — The Strategic Timing of Recommendations on Weekends | Amendments to NASD Rule 2711 and NYSE Rule …
- In this paper. we examine the impact of NASD Rule 2711. NYSE Rule 472. and the Global Research Settlement on the recommendation performance of independent. affiliated. and …
- memorandum explaining the application of FINRA’s Rule 2711 and NYSE Rule 472 (together. the “SRO Rules”). • April 2003: SEC establishes Regulation AC. which requires that broker-dealers: •Include in research reports certifications by the research analyst that the views expressed in the report accurately reflect his or her personal views. and •Disclose whether or not the analyst . . .
- New FINRA Rule 2241 (the New Equity Research Rule) modifies and consolidates current NASD Rule 2711 and Incorporated NYSE Rule 472 with respect to equity research activities (the Legacy Equity Research Rules). and new FINRA Rule 2242 (the Debt Research Rule) adopts — for the first time — rules applicable to debt research analysts and debt
- NASD Rule 2711 (Research Analysts and Research Reports) and Incorporated NYSE Rule 472 (Communications with the Public) (the Rules) set forth requirements to foster objectivity and transparency in equity research and provide investors with more reliable …
- FINRA notes that. in accordance with the mandates of the Sarbanes-Oxley. both NASD Rule 2711 and FINRA Rule 2241 are constructed such that the person who is primarily responsible for the preparation of the substance of a communication that meets the definition of a “research report” is a “research analyst. “ irrespective of his or her title or primary job (e. g. . it could include a registered . . .
