The impact of the 2004 research analyst rules on hedge fund research reports

Keith H. Black and John Mauldin

Journal of Financial Regulation and Compliance, 2006, vol. 14, issue 2, 185-191

Abstract: Purpose - Hedge fund marketers frequently distribute written commentary for investors to use in research. Since, these reports are subject to new regulations of the SEC (March 2004), changes need to be made by the hedge fund marketers. This study seeks to examine this issue. Design/methodology/approach - Details the rule changes introduced by the SEC regarding research reports. Findings - Concludes that significant changes have to be made by the marketers in question in order to bring their operations into compliance with the new regulations. Originality/value - Hedge fund marketers who are focused on adviser registration and the hiring of compliance officers are unlikely to have considered this important new area of regulation.

Keywords: Hedging; Research results; Research organizations; Securities; Regulation (search for similar items in EconPapers)
Date: 2006
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Persistent link: https://EconPapers.repec.org/RePEc:eme:jfrcpp:13581980610659495

DOI: 10.1108/13581980610659495

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