Is a password-protected conference call or Webcast in which a research analyst participates with clients considered a public appearance?
Yes. Participation by a research analyst in a conference call or Webcast with clients, whether or not password-protected, is a public appearance under Regulation AC. However, consistent with the discussion in the Adopting Release about what communications constitute research reports, the staff would not consider such participation by a research analyst to be a public appearance if the conference call or Webcast is limited to a group of fewer than 15 persons.
Related Questions
- At Case Conference, Research Conference, and similar meetings faculty and fellows discuss their ongoing research. Do we need to have biosketches and objectives for each?
- Is a password-protected conference call or Webcast in which a research analyst participates with clients considered a public appearance?
- Is a telephone interview between a research analyst and a member of the media considered a public appearance?
