Series 79 practice questionmediumQuiet Period
After an IPO, what is the research quiet period during which syndicate member analysts are restricted from publishing research on the newly public company?
- AThere is no post-IPO research quiet period under current rules
- B10 calendar days for managing underwriters and 25 calendar days for syndicate members
- CGenerally 10 days after an IPO, subject to EGC and significant-news exceptions✓ Correct answer
- D90 days for all participants
Explanation
Why C — Generally 10 days after an IPO, subject to EGC and significant-news exceptions
FINRA Rule 2241(b)(2)(I) requires a minimum 10-day post-IPO period for participating members, but excludes EGC offerings and permits specified significant-news research.
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