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- UID
- 223394
- 帖子
- 274
- 主题
- 14
- 注册时间
- 2011-7-11
- 最后登录
- 2014-7-25
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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? |
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发表于 2011-7-13 14:26
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