Rule A Dealer Member must pre-approve an analyst’s outside activities. 3624. – 3639. Reserved. Guidance/Notices 10/14/21 Research Report Disclosures and Best Practices Type: Rules Notice Subtype: Guidance Note 10/14/21 Review of Advertisements, Sales Literature and Correspondence Type: Rules Notice Subtype: Guidance Note 10/14/21 Outsourcing arrangements Type: Rules Notice Subtype: Guidance Note History There is no history log for this rule. Disciplinary History There is no history log for this rule. Jump to another section in Rule 3600 3601. Introduction 3602. Reserved 3603. Advertising 3606. Definitions 3607. Policies and procedures and minimum disclosure 3608. Research report disclosure of potential conflicts of interest 3609. Additional disclosures 3610. Quality of disclosures in a research report 3611. Independent third party research report 3612. Directing the reader to disclosures 3613. Visiting an issuer 3614. Relationship with the issuer 3615. Notice to discontinue coverage 3616. Setting price targets 3617. Prohibited inducements 3618. Public comments 3619. Policies and procedures on trading 3620. Prohibition on investment banking compensation 3621. Relationship with investment banking 3622. Quiet periods 3640. Misleading communications
10/14/21 Review of Advertisements, Sales Literature and Correspondence Type: Rules Notice Subtype: Guidance Note