Research reports must disclose if the analyst or a member of their household has a financial interest in the subject security. Firms must clearly explain their ratings systems. Research reports must disclose whether the firm has received fees for investment banking services within the last 12 months (not 18 months). Analysts' compensation may not ever be tied to the firm's investment banking revenues.

Series 6 - Investment Company And Variable Contracts Products Representative Exam

Training Mode

Unit 1 Unit 2 Unit 3 Unit 4

Research reports must include:

Disclosures of whther the firm has received fees for investment banking services within the last 18 months and Whether the analyst's compensation is tied to the firm's investment banking revenues

Whether the analyst who wrote the report (or any member of their household) has a financial interest in the subject security and A clear explanation of the firm's rating system

Disclosures of whther the firm has received fees for investment banking services within the last 18 months, A clear explanation of the firm's rating system and Whether the analyst's compensation is tied to the firm's investment banking revenues

A clear explanation of the firm's rating system and Whether the analyst's compensation is tied to the firm's investment banking revenues