SEC Approval of SRO Rules Addressing Research Analyst Conflicts of Interest

Topics:
Regulatory issues
Tags:
Dorsey & Whitney,
Software,
Service-Oriented Architecture (SOA),
SEC,
Research Analyst,
Investment,
Financial Services,
Finance,
Equity,
Enterprise Software,
...
Source:
Dorsey & Whitney

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Overview: On July 29, 2003, the Securities and Exchange Commission (“SEC”) approved the proposed rule changes by the National Association of Securities Dealers, Inc. (“NASD”) and the New York Stock Exchange, Inc. (“NYSE”) that further address research analyst conflicts of interest in connection with equity research reports, and are designed to achieve full compliance with the mandates of sections. The approved rule amendments were proposed as two different sets of SRO rule proposals; one set conceived as improvements to the May 2002 SRO rule changes and another set to comply with the mandate in section 501 of the SOA. The following article sets forth an overview of SRO rule amendments.

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Format: PDF | Size: 59KB | Date: Aug 2003 | Pages: 7

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