Tag: Conflicts

Brokers Compliance Investors

Analyst Conflicts – Problems? Solutions?

 The SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC Releases an Investor Alert on Analyst Conflicts and Suggests that Investors do their Own Research. By Mark J. Astarita, Esq. June 30, 2001 The SEC has posted an Investor Alert on Analyst Recommendations and Conflicts Tilted “Analyzing Analyst Recommendations”. According to the Commission, the Alert is intended to warn investors of […]