Pegasus2008

B) Analysts must not be allowed to participate in marketing "road shows" --> This is a bad question. Sell-side analysts can certainly participate in non-deal road shows with clients, its the deal oriented road show marketing that is prohibited.

C) Prohibit covered employees and immediate family members from trading contrary to the firm's recommendations, except under cases of extreme financial hardship. --> I think this is non-prohibited because you can trade contrary to firm recomendation, but not your OWN recomendations.

smuggycfa

I have work to do

mengxu

the show NY Wrote:
-------------------------------------------------------
> 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"