Research

Overview

This page provides comprehensive information as to the requirements under the securities laws and the Commodity Exchange Act that apply to the production and distribution of investment research, including in connection with securities offerings and by non-U.S. firms. For more general information as to broker-dealer regulatory requirements and as to requirements arising under the CEA, respectively, see the Broker-Dealer page and the Commodity Exchange Act page. See also the bottom of this page for other closely related subjects.

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Partner
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Professional Advisor

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SEA and SEA Rules

SA Rules

FINRA Rules

Research Settlement

Regulatory Guidance: SEC and FINRA