Investment advice disclosure: require public disclosure of personal and employer interests when giving securities advice in media. Regulation 17A prohibits a Foreign Institutional Investor or its employees from giving investment advice in publicly accessible media, real-time or non ... Summary
Investment advice disclosure: require public disclosure of personal and employer interests when giving securities advice in media.
Regulation 17A prohibits a Foreign Institutional Investor or its employees from giving investment advice in publicly accessible media, real-time or non real time, unless they disclose their interest in the security, including any long or short position; employees must also disclose the interests and long or short positions of their dependent family members and of the employer.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.