We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

Analyst Conflicts Still Abound: NYSE, NASD

Law360 (January 5, 2006, 12:00 AM EST) -- Two of the securities industry’s most powerful regulators believe that although rules designed to cut down on research analyst conflicts of interest have been effective, problems in the industry have not totally disappeared.

The New York Stock Exchange and the National Association of Securities Dealers have released a report in which the two self-regulating organizations clarify and critique their rules for analyst disclosure.

The report was written at the request of the U.S. Securities and Exchange Commission.

The report says that the rules “have been effective...
To view the full article, register now.
Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.