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Sarbanes-Oxley News & Developments
Research Analyst Rules ApprovedSome rules are effective immediately and others are effective as late as January 26, 2004.
> > The SEC recently approved a series of changes to NASD and NY Stock Exchange rules governing research analysts, fulfilling requirements of the Sarbanes-Oxley Act (SOX) of 2002. Release No. 34-48252, 68 Fed, Reg. 45875 (July 29, 2003). The rules generally are intended to protect the independence of research analysts, although they also impose registration, qualification, and continuing education requirements on analysts. The new rules will be phased in over a 180-day period, with some rules immediately effective and others effective as late as January 26, 2004.
Source: Fundlaw
Published:2003-08-19
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