Regulation AC
 
Rule 504 Notification to Associated Persons
A broker or dealer shall notify any person with whom that broker or
dealer is associated who publishes, circulates, or provides research reports:
a. Whether
the broker or dealer maintains and enforces written policies and procedures
reasonably designed to prevent the broker or dealer, any controlling persons,
officers (or persons performing similar functions), or employees of the
broker or dealer from influencing the activities of research analysts
and the content of research reports prepared by the associated person;
and b. Whether
the associated person has any officers (or persons performing similar
functions) or employees in common with the broker or dealer who can influence
the activities of research analysts or the content of research reports
and, if so, the identity of those persons. |
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