Communications with the public Flashcards
1
Q
A syndicate manager or co-manager may NOT publish a research report on the subject issuer for how many days following an IPO
A
40 days
2
Q
BrokerCheck is done
A
Annually
3
Q
Participation in an Internet chat room is considered
A
Public Appearance
4
Q
client communication that analyzes individual securities distributed to at least how many persons
A
15 persons
