A broker or dealer shall notify any person with whom that broker or dealer is
associated who publishes, circulates, or provides research reports:
Whether the broker or dealer maintains and enforces
written policies and procedures reasonably designed to prevent the broker or dealer,
any controlling persons, officers (or persons performing similar functions), or
employees of the broker or dealer from influencing the activities of research
analysts and the content of research reports prepared by the associated person;
and
Whether the associated person has any officers (or
persons performing similar functions) or employees in common with the broker or
dealer who can influence the activities of research analysts or the content of
research reports and, if so, the identity of those persons.
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