Regulation AC

OMB 3235-0575

OMB 3235-0575

Regulation AC requires that any research report disseminated by a broker or dealer include certifications that the research report accurately reflects the analyst's personal views, and whether the analyst received compensation or other payments in connection with his or her specific recommendations or views. Broker-dealers would also be required to obtain analyst certifications and disclosures in connection with public appearances.

The latest form for Regulation AC expires 2022-02-28 and can be found here.


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