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- 2011-5-24
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13#
发表于 2011-7-13 14:26
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the show NY Wrote:
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> On #3,
>
>
> B) Analysts must not be allowed to participate in
> marketing "road shows" --> why is this prohibited?
> if analysts cannot participate in road shows then
> who can?
>
> C) Prohibit covered employees and immediate family
> members from trading contrary to the firm's
> recommendations, except under cases of extreme
> financial hardship. --> i could have sworn i saw
> this as prhibited. is this false because the
> immediate family members are not prohibited even
> th ough they anaylysts are?
For the employees and their families, It's not recommended, it prohibited. I hate those questions of recommended vs. prohibited. The questions says which is not "recommended" |
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