Valores

Quarterly, quarterly, quarterly …
1. A is correct. The Standards prohibit sharing the entire report and the recommendation with the subject company.
2. C is correct. The Standards recommend that any contact with the investment banking department regarding a research report be documented in writing, directed through the compliance department, and limited only to verification of facts, such as conflicts of interest.
3. A is correct. The Standards recommend that reports and recommendations be updated at least quarterly and that when coverage of a subject company is being discontinued, firms should issue a final research report and recommendation.
4. C is correct. The Standards require disclosure only if the firm managed or co-managed an offering of GolfTango securities.
5. A is correct. The Standards recommend that an analyst making a public appearance to discuss a report should disclose to the audience that the report is available at a reasonable price.
6. A is correct. The Standards prohibit Makungo from trading in a manner that is contrary to the employee’s or firm’s most recent published recommendations. The Standards also prohibit direct linking of analyst compensation with investment banking activities.