This course introduces the responsibilities and ethics of research analysts in the broker-dealer field. Before the introduction of the SRO Rules in 2002 by the New York Stock Exchange (NYSE) and NASD, the public had lost confidence in research analysts and their abilities because of countless examples of conflict of interest that were arising in the news media. NYSD and NASD felt the need to reinstate some public confidence in research analysts and the research they develop. Generally, the SRO rules were created to improve objectivity and transparency in equity research, but the creation of Rule 2711 in particular was intended to restore public confidence in the validity of research and the veracity of research analysts. This course outlines the responsibilities of research analysts and the ethics they must abide by to be in compliance and to become successful in this field.
At the conclusion of this course, you will be able to:
- Describe the job of research analysts.
- Understand the qualifications and skills required to be a research analyst.
- Generalize the purpose of research reports, as well as what they must disclose to clients.
- Summarize the importance of professional responsibility for research analysts.
- Outline Rule 2711's background.
- Describe the importance of Rule 2711.
- Summarize the impact of Rule 2711.
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