SIE Exam Question 162: Answer and Explanation

Question: 162

Which of the following must be disclosed in a research report?

• A. Ownership and material conflicts of interest
• B. Receipt of compensation
• C. If the member was making a market in the subject company’s securities at the time that research report was published
• D. All of the above

Correct Answer: D

Explanation:

Ownership and material conflicts of interest, receipt of compensation, and if the member was making a market in the subject company's securities at the time that research report was published must all be disclosed in a research report.