Hi,
I have been an associate for 1.5 years in equity research. I would like to get some advice in 3 areas.
Firstly, when do associates' names get printed on reports?
Secondly, what are the SEC rules/ US rules about acknowledging persons who have contributed to research reports?
Lastly, I am helping a head research with coverage of US companies. However, I am hired by a subsidiary company which is not a licensed broker under SEC. Can I be credited in the research report? How could this be done?
Thanks! Your views will really be helpful!
do u work for a small shop (most BBs print the entire ER team name) or do u mean printed @ the top (head of sector/sr analyst)?
I work for an established name in Asia.
No, I mean being printed on the side bar of the report in the front page where the team which worked on the report is shown. I understand they print the name of the lead analyst on top/bottom of the page.
to have your name printed on a report about a us company that is traded on a us exchange and is likely distributed to us clients, you need to have your 7, 63, 86, 87 finra licenses. your firm would need to officially sponsor you to take the exams.
another option i've seen is when the team writes a report they will write something like "thanks to our guy in beijing for his assistance in the preparation of this report."
Thanks, useful! Is it wrong if they fail to credit a contribution? What recourse does the (unrecognised) contributor have? Can the names be amended when the report has been published?
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