TITLE

The Analyst Test Snafu at Suntrust

AUTHOR(S)
Friediwider, Josh
PUB. DATE
September 2004
SOURCE
Investment Dealers' Digest;9/13/2004, Vol. 70 Issue 35, p9
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
This article focuses on the snafu caused, due to rigorous new exam for analysts, at one firm that missed the June 1 deadline for filing an extension that would have given its analysts breathing room on the test until April 2005. As a result, Suntrust Robinson Humphrey Equity Capital Markets found itself unable to publish research from any analyst who hadn't already taken the test. One research executive at Suntrust said the missed extension resulted from the foul-up of one compliance person who was subsequently fired. Most of the firm's analysts hove now passed the exam, the insider said, and the firm is focused on moving beyond the episode.
ACCESSION #
14419977

 

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