标题: Securities on HOLD/Restricted List [打印本页] 作者: edgeon 时间: 2011-7-13 16:36 标题: Securities on HOLD/Restricted List
Can someone throw some light on the circumstances wherein a brokerage/investment banking division of a firm places a security on Hold or Restricted List?
What exactly is meant by hold/restrict list?作者: jim8z3 时间: 2011-7-13 16:36
They only give out factual information about the company . If I Bank has a potential deal coming up and if a negative view some what spoil the relatoinship . the securiteis can be put on a restricted list . the research analyst can only give out factual information of the company. this would be for the sell side
for the buy side if there is a potential deal or the bank is the book runner , market maker , trading on the prop desk might be considered insider , the securities would be put on a restricted list
