Tag: Analysts

Brokers Investors

Analysts Suits

Analysts take the heat for failing Internet Companies By Mark J. Astarita, Esq. With the burst of the “Internet Bubble” starting in April 2000, and running through the end of that year, investors lost an untold amount of money in the seclaw.com/glossary/stock/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>stock market. While one can debate the size of […]

Arbitration

NASD Online Arbitration Filings for Analyst Cases

 Analyst Conflict Cases Set for Online Filings at NASD Arbitration  Introduction on online system moved up to accomodate analyst cases. [Ed. This was originally posted in 2003 and is presented for historical reference] NASD has submitted a rule revision to the SEC which would amend its claim filing rules to […]

Analysis Compliance News

AIMR Addresses Analyst Conflicts 

By Dan Jamison The Association for Investment Management and Research (AIMR) is working on new guidelines to address analyst integrity and analyst conflicts. Charlottesville, Va.-based AIMR confers the Chartered Financial Analyst (CFA) designation to its members, most of whom are analysts and money managers, although some retail reps obtain the […]

Analysis Brokers Investors

Analyst Disclosure Issue Would Snag Brokers

New NASD Proposal will require more disclosures by retail brokers. The war on analysts is now threatening brokers. In proposing heightened disclosures from analysts, the NASDR has included retail brokers as well. The July proposal, NASD Notice to Members 01-45, broadens disclosure obligations for public appearances by analysts and brokers […]

Analysis Brokers Compliance

Analyst Disclosure Issues

Analyst Disclosure Issue Would Snag Brokers New NASD Proposal will require more disclosures by retail brokers. The war on analysts is now threatening brokers. In proposing heightened disclosures from analysts, the NASDR has included retail brokers as well. The July proposal, NASD Notice to Members 01-45, broadens disclosure obligations for […]