SEC approves revised Sarbanes-Oxley analyst rules
REGULATORY UPDATE
Washington, DC -- The US Securities and Exchange Commission (SEC) has approved rule changes made by the New York Stock Exchange and National Association of Securities Dealers affecting investment research analyst conflicts of interest at their member firms. Both are self-regulatory organisations (SROs). The amendments are intended to meet the requisites of section 501 of the Sarbanes-Oxley Act and to enhance previous analyst rule changes made in May 2002.
The rule changes, announced at the end of
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