Securities Research: Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest

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By A. Nicole Clowers (au)
Year: 2012
Pages: 69
Binding Paperback
ISBN 978-1-4578-2726-6

Product Code: 1457827263

Description

In 2003 and 2004, the SEC, self-regulatory org. (SRO), and others settled with 12 broker-dealers to address conflicts of interest between the firmsäó» research and investment banking (IB) personnel. The regulators alleged that the firms allowed their IB to pressure equity research analysts in ways that could cause them to issue misleading research to the harm of investors. Under the settlement, the firms had to undertake reforms designed to sever links between research and IB. This report discusses: (1) what is known about the effectiveness of the regulatory actions taken to address analyst conflicts; and (2) what further actions could be taken to address analyst conflicts. Charts and tables. This is a print on demand report.

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