SIE Exam Practice Question 87

Question: 87

Which of the following is true regarding third-party research reports?

A. A third-party research report is a research report produced by a person in the research department of a member firm.

B. Third-party research reports and independent third-party research reports have the same meaning.

C. A registered principal (or supervisory analyst) must approve all third-party research reports distributed by a member.

D. A registered principal (or supervisory analyst) must approval all independent third-party research reports.