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Conflicts Of Interest Plague Researchers

Law360 (August 8, 2006, 12:00 AM EDT) -- Securities firms are not adhering to guidelines meant to prevent conflicts of interest in fixed-income research, according to NYSE and NASD regulators.

The joint informational memo, issued by the New York Stock Exchange's regulatory arm and the National Association of Securities Dealers on Aug. 1, also said the firms aren’t complying with existing U.S. Securities and Exchange Commission regulations.

The Bond Market Association issued guiding principles in 2004 to help the group’s member firms manage potential conflicts of interest that may arise from their research activities....
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