NYSE, NASD Propose to Apply Research Analyst Rules to Fund and Aternative Investment Product Sales Literature - SEC Approves Publication for Comment
January 01, 2007
On January 9, 2007, the SEC approved for publication and comment proposed changes to the NYSE's and NASD's Research Analyst rules ("Proposed Rule Changes"), NYSE Rule 472 and NASD Rule 2711 (the "Rules"). The Rules implement the recommendations in the December 2005 Joint Report by the NASD and NYSE on the Operation and Effectiveness of the Research Analyst Conflict of Interest Rules (the "Report"). Comments must be submitted to the SEC by 45 days from publication in the Federal Register.
