GAO has issued a report under Section 919A of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires that requires GAO to identify and examine potential conflicts of interest between investment banking and both equity and fixed-income (debt) research staff in the same firm. The report examines:
- the effectiveness of the regulatory actions taken to address research analyst conflicts of interest, and
- additional actions regulators could take to further address research analyst conflicts.
Check dodd-frank.com frequently for updates on the Dodd-Frank Act and other important securities law matters.
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