 Article
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SEC Approves New NASD and NYSE Rules
Addressing Analyst Conflicts |
May 16, 2004
On May 8, 2002, the Securities and Exchange Commission approved proposed changes to the rules of the NASD and the New York Stock Exchange to address conflicts of interest arising
when research analysts recommend securities in situations in which their firm has an investment banking relationship with the
subject company or when the analyst or firm owns securities of the subject company.
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The views expressed in this article are solely the views of the author and not Martindale-Hubbell. This article is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
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