17 CFR 242.504 - Notification to associated persons.

§ 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 2015-04-01.

No entries appear in the Federal Register after this date, for 17 CFR Part 242.

Title 17 published on 2015-04-01

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

  • 2015-05-13; vol. 80 # 92 - Wednesday, May 13, 2015
    1. 80 FR 27444 - Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
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      SECURITIES AND EXCHANGE COMMISSION
      Proposed rules.
      Comments should be received on or before July 13, 2015.
      17 CFR Parts 240 and 242