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Strategies & Market Trends : Rande Is . . . HOME -- Ignore unavailable to you. Want to Upgrade?

To: debby who wrote (35399)9/19/2000 12:51:40 PM
From: Rande Is  Read Replies (1) | Respond to of 57584
 
Debby, in your complaint to the SEC, you may wish to plant the seed that investors are demanding full-disclosure from analysts. This is just one of MANY proposals we will be making to the SEC, the NASD, congress and all other concerned parties over the coming years.

When an analyst upgrades or downgrades a stock, we Individual Investor/Consumers are requesting regulations which would require Analysts to file a form with the SEC. This form would disclose the positions and trades of their employer, the officers of the company, the analyst and any other instrumental parties of the report. . . during the 144 hour period beginning 3 days before the analyst report through 3 days afterwards. This disclosure should be filed within 7 days following the report. . . and posted publicly on the Edgars.

Thanks,

Rande Is



To: debby who wrote (35399)9/19/2000 1:54:12 PM
From: Bob Kim  Read Replies (1) | Respond to of 57584
 
Debby, The policies are different firm-to-firm. Some don't allow analysts to own any stocks they follow. Some allow them to transact only in a way that conforms to their ratings on a stock. Some have more liberal policies. I've seen firms that prevent employees (more than just the analyst) from transacting in a stock for 24 hours and up to 72 hours following a ratings change.


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