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The disclosures required by sections 3608 and 3609 are applicable to research reports prepared by an independent third party that is distributed by a Dealer Member to its clients under the independent third party’s name.
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The disclosures in sections 3608 and 3609 are not required in the following circumstances:
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in the case of independent third party research reports that are issued by members of the Financial Industry Regulatory Authority or persons governed by other regulators approved by IIROC, or
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when a Dealer Member is only giving clients access to independent third party research report, or supplying an independent third party research report at the request of a client,
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and
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the Dealer Member discloses that the independent third party research report was not prepared in accordance with Canadian disclosure requirements relating to research reports.
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There is no history log for this rule.