Research analyst registration requires application, qualifications, disclosures, infrastructure, conflict policies, segregation, certification fees. Application for registration as a research analyst requires submission of Form A with supporting documents and prescribed fee; applicants must show that principal officers and persons associated with research services meet and will maintain qualification and certification requirements, disclose disputes or regulatory actions, confirm fit-and-proper status, describe proposed research services, conflict of interest policies, standard disclosures and necessary infrastructure, and declare segregation of research and distribution services where applicable. Registration is granted by certificate (Form B/Form C) valid until suspended or cancelled by the Board.
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Provisions expressly mentioned in the judgment/order text.
Application for registration as a research analyst requires submission of Form A with supporting documents and prescribed fee; applicants must show that principal officers and persons associated with research services meet and will maintain qualification and certification requirements, disclose disputes or regulatory actions, confirm fit-and-proper status, describe proposed research services, conflict of interest policies, standard disclosures and necessary infrastructure, and declare segregation of research and distribution services where applicable. Registration is granted by certificate (Form B/Form C) valid until suspended or cancelled by the Board.
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