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SIA Questions SEC Analyst Reforms

Traders Magazine, May 2002

Gregory Bresiger

A large securities industry group said smaller firms may be hurt by some of the analyst reforms recently approved by the SEC. The regulations toughen the requirements that legal and compliance staffs have in communicating with one another, especially in the relationships between the investment banking and research sides of the firm. The disclosure of information on non-public deals, according to the Securities Industry Association, will hurt the ability of small firms to provide research and underwrite offerings of companies.

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