Bridge over ocean
5 March 2007 Comment Letter

Comment Letter to the U.S. Securities and Exchange Commission on Self-Regulatory Organizations: Proposed Rule Changes to Amend NYSE Rules 472 and 344

  1. Kurt Schacht, JD, CFA
  2. James Allen, CFA

Self-Regulatory Organizations: Proposed Rule Changes to Amend NYSE Rules 472 and 344; and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest (Ref. SR-NYSE-2006-78 and SR-NASD-2006-113).

Self-Regulatory Organizations: Proposed Rule Changes to Amend NYSE Rules 472 and 344; and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest (Ref. SR-NYSE-2006-78 and SR-NASD-2006-113).
View Comment Letter
Publisher Information
CFA Institute

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