Do Regulation AC certifications have to appear on the front cover of a research report or on any particular page?
Regulation AC certifications (and references to certifications) must be “clear and prominent.” A certification on the front cover of a research report would meet the prominence requirement (unless buried in a footnote or otherwise obscured). If the cover page instead contains a reference to a certification, the reference must be clear and prominent and indicate where in the research report certifications may be found (e.g., “Important disclosures and certifications are located on page 7 of this research report.”) However, the reference does not have to cite to specific page numbers if the location of the certification is otherwise clear (e.g., “Regulation AC certifications are located on the last page of this research report.
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