Series 14: 9.3.7.1. Restrictions On Soliciting Investment Banking Business

Taken from our Series 14 Online Guide

9.3.7.1. Restrictions on Soliciting Investment Banking Business

No research analyst may participate in the solicitation of investment banking business. Nor may a research analyst communicate with a client or prospective client about an investment banking transaction in the presence of the firm’s management or investment banking department personnel. Similarly, investm

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