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3620. Prohibition on investment banking compensation

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Series 3000: Business Conduct and Client Accounts Rules
    Rule

    1. A research report must disclose if the analyst responsible for the report received compensation within the prior 12 months that was based upon the Dealer Member’s investment banking revenues.

    2. A Dealer Member must not pay any bonus, salary or other compensation to an analyst that is directly based upon a specific investment banking transaction.

    Guidance/Notices
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