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Pastimes : Clown-Free Zone... sorry, no clowns allowed
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To: Earlie who wrote (149825)2/7/2002 3:24:35 PM
From: maceng2  Read Replies (1) of 436258
 
NASD proposes new rules for analysts

The National Association of Securities Dealers said it has proposed new rules governing recommendations of securities by research analysts to address "the serious potential conflicts of interest" faced by those analysts. Among the proposed changes are increasing disclosures of conflicts in research reports and public appearances, prohibiting analysts from purchasing or the receiving of pre-IPO (initial public offering) shares, prohibiting firms from tying an analysts compensation to investment banking transactions and restricting an analyst's personal trading of securities. "This is a tough and comprehensive set of rules. It is a combination of disclosure and outright prohibitions that I believe will protect investors and go a long way to dealing with conflicts of interest," said Robert Glauber, the NASD's chairman and chief executive. "These rules will be vigorously enforced with the full range of disciplinary options available to the NASD."
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