Series 24: Firewall Between A Member Firm And A Subject Company

Taken from our Series 24 Online Guide

Firewall Between a Member Firm and a Subject Company

FINRA also requires a firewall to be established between a member firm and a company that is the subject of a research report. A member firm may not submit any portion of a research report to the company prior to the publication, except as necessary to verify the factual accuracy of its information. If sections of a report must be s

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Jessie Urban, Securities America Inc, LaVista, NE

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Steven Eisner, Penn Mutual/HTK, Hauppauge, NY

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Chris Brice,CFA Bell Potter Cantley, Québec, Canada

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Audrey M., Austin, TX