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!
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Cant help with the last 2 questions since im not based in the US but I got my name on a research report the day I started as an associate. Guess it depends on the firm.
in the us you are permitted to have your name on the cover of your report as soon as you pass your finra licensing exams 7, 63, 86, 87. Assuming you have those qualifications, you will be able to put your name on the cover. There is no time limit.
I assume you work for one of the outsourcing firms in which case you won't get credited as your name on the report carries all sort of legal responsibility . If you work for the firm itself you need a) series 7, 67, 86, 87 and your senior analysts' approval.
I am not sure about sell side but my name is on the fund publications under investment professionals 2 years after I started.
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