Series 24: 4.6.1. Firewall Between The Research And Investment Banking Departments

Taken from our Series 24 Online Guide

4.6.1. Firewall Between the Research and Investment Banking Departments

FINRA requires a “firewall” between a company’s research and investment banking departments. That is, research analysts may not be supervised or controlled by any employee of the member firm’s investment banking department, nor may any member of that departme

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