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Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Wednesday, August 22, 2012

FAQs from SEC JOBS Act & Research Analysts & Underwriters

Jumpstart Our Business Startups Act: Frequently Asked Questions About Research Analysts and Underwriters, Division of Trading and Markets (August 22, 2012)

In these Frequently Asked Questions (“FAQs”), the Division of Trading and Markets (“staff”) is providing guidance on certain provisions of the Jumpstart Our Business Startups Act (“JOBS Act”) as they affect firms and their obligations with respect to securities analysts (“analysts”) and research reports. These FAQs are not rules, regulations or statements of the Commission. The Commission has neither approved nor disapproved these FAQs.

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