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.
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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.
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S1-31 - Framework