News & Media

Research Analyst Conflicts, National Society of Compliance Professionals – 2003 Midwest Regional Meeting

Conflicts between research recommendations and the other activities of a broker-dealer, such as investment banking, market making and proprietary trading, have been a long-standing issue in the securities industry. Because of the Enron debacle and its resulting publicity, and because of Congressional, SEC and industry pressure, the NASD and NYSE developed and submitted to the […]

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