Series 14: 6.1.6. Research Reports And Public Offerings

6.1.6. Research Reports and Public Offerings

A research report is a written communication that includes an analysis of a security or an issuer, and provides sufficient information upon which to base an investment decision. Research reports are discussed in greater detail in Chapter 9. FINRA has specific rules about the issuance of research reports related to an issuing company in a securities offering. Those rules are described in detail below.