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Responsibilities of the Research Analyst
Overview
This course outlines the requirements and duties of a registered member firm’s research analyst. This role is far more than a simple designation by senior management. Associated persons must understand the research analyst and how the research analyst operates within the firm.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
Identify and describe the key responsibilities, requirements, and qualifications of research analysts.
Explain the applicable SEC and FINRA rules and regulations governing research analysts and their activities.
Recognize the importance of disclosing conflicts of interest and the impact of transparency on research integrity and investor protection.
Designed For:
Research Analysts
Course Information
Adding additional credit may change exam requirements.