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NISM Certifications · NISM-Series-XV: Research Analyst · Introduction to Research Analyst Profession

Under the SEBI (Research Analysts) Regulations, 2014, which of the following persons is required to be registered as a research analyst?

A person who prepares and publishes research reports or gives public recommendations on securities as a professional activity must be registered, because the regulations target those making buy, sell or hold views. General commentary, unaltered quotations and economic lectures are not covered.

  1. AA person who prepares and publishes research reports or gives public recommendations on securities as a professional activityCorrect
  2. BA media person quoting the views of a registered analyst without alteration
  3. CA person who gives general market commentary in a newspaper column without recommending specific securities
  4. DA person who only discusses the economy in a classroom lecture

Explanation

The regulations cover persons who prepare or publish research reports or make recommendations on securities, including target prices or views on buying or selling. Quoting a registered analyst, general commentary and classroom economic lectures do not by themselves involve recommending specific securities, so they fall outside registration.

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