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You Need to Be Concerned About Analyst Communications under the JOBS Act

Posted in Compliance and Supervision, JOBS Act, Research Analysts, SEC Compliance, State Enforcement

The SEC’s Division of Trading and Markets released guidance on the JOBS Act’s elimination of restrictions on analyst communication and research reports concerning initial public offerings of emerging growth companies. The real quandary that the guidance addressed was related to the Elliot Spitzer settlement between regulators and major investment banks announced in 2003.  This settlement required strict firewalls… Continue Reading