A Dealer Member distributes a 'compendium report' that includes research on 10 different issuers. How may the Dealer Member appropriately handle the required conflict disclosures for these issuers?

Question

Accepted Answer

For reports covering six or more issuers (compendium reports), IDPC Rule 3612 allows the Dealer to direct the reader to the disclosures rather than printing them all in the document.

A Dealer Member distributes a 'compendium report' that includes research on 10 different issuers. How may the Dealer Member appropriately handle the required conflict disclosures for these issuers?

Discussion