This course will discuss the ethical issues that arise in connection with the work of the research analyst in the securities industry, and the regulatory response to these issues.
The presentation will be divided into two lessons:

• Lesson 1 - Research Analysts, Information Gathering and Regulation FD
• Lesson 2 - Analyst Conflict of Interest Rules and Qualification of Analysts

This course should give the student an understanding of the ethical questions associated with security analysis in the securities industry and the manner in which the industry has gone about answering them.