Series 79 practice questioneasyResearch Analyst Conflicts
Which of the following is permitted during the quiet period after an IPO?
- AResearch analyst publishing a buy rating
- BResearch analyst attending an investment banking pitch meeting for the issuer
- CResearch analyst issuing factual information already in the prospectus✓ Correct answer
- DResearch analyst distributing a written recommendation to institutional clients only
Explanation
Why C — Research analyst issuing factual information already in the prospectus
Factual information from the prospectus can be provided, but research opinions or recommendations are prohibited during the quiet period. This distinction often catches candidates off guard.
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