Series 79 practice questioneasyResearch Analyst Conflicts
Which of the following is a prohibited practice under the Global Research Analyst Settlement and related FINRA rules?
- AAllowing research analysts to attend public investor conferences
- BPaying research analysts based on institutional investor polling
- CHaving investment banking personnel direct specific content in an analyst report✓ Correct answer
- DPermitting research analysts to publish reports after the end of a quiet period
Explanation
Why C — Having investment banking personnel direct specific content in an analyst report
Investment banking may not influence the specific content of research reports. The trap is thinking general operational overlap is prohibited, but the key is direct content influence.
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