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Series 79: Collection, Analysis & Evaluation of Data
Series 79 practice questionmediumIndustry Analysis Disclosures

A transaction-related report summarized under Regulation M-A Item 1015 relies on industry and market analysis. Which disclosure is required regarding the report?

  1. AA summary of its bases and methods, including material assumptions and limitations✓ Correct answer
  2. BPersonal opinions of the board members
  3. CCompetitive salary surveys
  4. DOnly proprietary internal data
Explanation

Why AA summary of its bases and methods, including material assumptions and limitations

Item 1015 requires a summary of the bases and methods underlying a materially related report, opinion, or appraisal, including material assumptions and limitations. The rule does not impose that disclosure framework on every standalone market analysis.

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