3609. Additional disclosures

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    1. A research report must disclose or indicate where the following information is otherwise available:  

      1. the Dealer Member’s system for rating investment opportunities and how each recommendation fits within the system, and

      2. the Dealer Member’s policies and procedures that specifically address the dissemination of its research reports.
    2. A Dealer Member must, on a quarterly basis, disclose the percentage of its recommendations that fall into each category of its recommendation system.

    There is no history log for this rule.

    There is no history log for this rule.