The 2003 global analyst research settlement prohibited research analysts from participating in investment-banking 'road shows' and from soliciting investment-banking business.
Sources
- Speech by SEC Chairman: Prepared for Delivery at SEC Press Conference Regarding Global Settlement (sec.gov)
- https://fcic-static.law.stanford.edu/cdn_media/fcic-docs/2003-05-07%20William%20H.%20Donaldson%20Testimony%20Concerning%20Global%20Research%20Analyst%20Settlement.pdf (fcic-static.law.stanford.edu)
- https://www.cooley.com/news/insight/2010/modifications-to-global-research-analyst-settlement (cooley.com)
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