Third Party Research Analyst Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
ReviewedEvidence1 sourceSectionPhrases & Idioms
Quick answer
Regulation AC defines a third party research analyst by specified non-employment relationships to the relevant broker or dealer or, when applicable, to a covered person and associated persons of that broker or dealer.
Key details
Canonical FormThird party research analyst
Core MeaningRegulation AC defines a third party research analyst by specified non-employment relationships to the relevant broker or dealer or, when applicable, to a covered person and associated persons of that broker or dealer.
Further guidance
History Boundary
This page reflects the current reviewed Regulation AC definition and should be rechecked if 17 CFR § 242.500 changes.
Meaning
Regulation AC defines a third party research analyst by specified non-employment relationships to the relevant broker or dealer or, when applicable, to a covered person and associated persons of that broker or dealer.
Usage Boundary
The definition is specific to Regulation AC and should not be substituted for every ordinary-language, employment, or market use of the term.
Sources and evidence
Sources are shown with the role they play in this guide. Historical or style-sensitive claims are kept within the evidence boundary described above.
Research Analyst Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
Research Report Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
Covered Person Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
Foreign Person Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
Foreign Security Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
Public Appearance Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
Registered Broker or Dealer Under Regulation AC is a current Regulation AC defined term. This guide preserves the rule-specific meaning and boundary instead of replacing it with informal market shorthand.
U.S. Person Under Regulation AC is a current rule-defined or rule-incorporated term. This guide preserves the regulation-specific meaning and boundary instead of replacing it with informal shorthand.
