NYSE, NASD to Ban Analysts on Roadshows

Friedlander, Josh
March 2005
Investment Dealers' Digest;3/28/2005, Vol. 71 Issue 12, p10
Trade Publication
Reports on the proposal by industry regulators to extend two of the global research-analyst settlement's key provisions to all U.S. brokerage firms. Assertion by research directors that a majority of the firms not subject to the global settlement have already adopted these measures; Prohibition by the new self-regulatory organization (SRO) rules for research analysts from participating in road shows; Desired clarifications in the SRO rules.


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