Research services definitions extend regulatory coverage to compensated recommendations, trading calls, model portfolios, and public-offer opinions. "Research analyst" covers any person engaged, for consideration, in providing research services, including a part-time research analyst. "Research ... Summary
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Research services definitions extend regulatory coverage to compensated recommendations, trading calls, model portfolios, and public-offer opinions.
"Research analyst" covers any person engaged, for consideration, in providing research services, including a part-time research analyst. "Research services" include preparing, publishing, providing or issuing research reports or analysis; buy, sell or hold recommendations; price or stop-loss targets; opinions on public offers; model portfolios; trading calls; and comparable services concerning listed or proposed-to-be-listed securities, irrespective of job title. Consideration includes direct or indirect economic benefit, including non-cash benefit, received or receivable from a client or otherwise.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.