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.