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NISM Certifications · NISM-Series-XV: Research Analyst · Legal and Regulatory Environment (NISM XV)

Which of the following is a required disclosure by a research analyst in a public appearance, such as a TV interview, under the Research Analyst Regulations?

The analyst must disclose any financial interest or other conflict of interest in the subject company, held by the analyst or associates, at the time of a public appearance. Personal income, client lists or trading profits are not required disclosures.

  1. AWhether the analyst or associates hold financial interest in the subject company at the time of the appearanceCorrect
  2. BThe analyst's personal annual income
  3. CThe names of all clients of the analyst's employer
  4. DThe analyst's past trading profits

Explanation

Regulations require disclosure of financial interest, beneficial ownership above the prescribed threshold, and conflicts of interest in the subject company during public appearances. Income, client lists and past trading profits are not mandated disclosures.

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