When do associates' names get printed in report?

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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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.

 

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