The National Association of Securities Dealers has lobbed an initial shot over Wall Street's collective bow with a series of proposals to prevent potential abuses--and levy possible penalties--regarding research reports and the symbiotic relationship among analysts, investment bankers and corporate finance clients.
Conflicts include reports on investment banking clients, analysts trading in the stocks they cover, research reports that need investment banking department approval before being
Anthony and James look at developments pertaining to the Consolidated Audit Trail and wonder if big-tech companies could challenge traditional asset managers.Subscribe to Weekly Wrap emails
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