17 CFR 242.504 - Notification to associated persons.

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There is 1 rule appearing in the Federal Register for 17 CFR 242. View below or at eCFR (GPOAccess)
§ 242.504 Notification to associated persons.
A broker or dealer shall notify any person with whom that broker or dealer is associated who publishes, circulates, or provides research reports:
(a) Whether the broker or dealer maintains and enforces written policies and procedures reasonably designed to prevent the broker or dealer, any controlling persons, officers (or persons performing similar functions), or employees of the broker or dealer from influencing the activities of research analysts and the content of research reports prepared by the associated person; and
(b) Whether the associated person has any officers (or persons performing similar functions) or employees in common with the broker or dealer who can influence the activities of research analysts or the content of research reports and, if so, the identity of those persons.

Title 17 published on 2013-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2013-07-24; vol. 78 # 142 - Wednesday, July 24, 2013
    1. 78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rules.
      The final rule and form amendments are effective on September 23, 2013.
      17 CFR Parts 230, 239 and 242

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 242 after this date.

  • 2013-07-24; vol. 78 # 142 - Wednesday, July 24, 2013
    1. 78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rules.
      The final rule and form amendments are effective on September 23, 2013.
      17 CFR Parts 230, 239 and 242