Series 14: 7.3.2.3. Research Analysts

Taken from our Series 14 Online Guide

7.3.2.3. Research Analysts

A research analyst is any natural person who is primarily responsible for the preparation of the content of a research report. Research analysts must be registered with FINRA. They must be registered as General Securities Representatives and pass the qualification exam for research analysts (Series 86/87).

Analysts who only prepare technical research rep

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