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3614. Relationship with the issuer

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Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. A Dealer Member must not issue a research report prepared by an analyst on any issuer for which the analyst, an associate of the analyst or the designated Supervisor:

      1. serves as an officer, director or employee of the issuer, or
      2. serves in any advisory capacity to the issuer.
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