Ethics Personal Investments

CFA Level II
#1

WHat’s the policy on trading arround securities analyst is assigned to?

#2

Allowed as long as the analyst position is the same as his rating and that he doesn’t trade prior to issuing a report.

#3

Is there like a 5 day thing around the issue o fthe recomendation that you cant trade on?

#4

Yes. You can’t trade 30 days calender days before report issuance and 5 calender days after report issuance.

#5

Thanks, where is that at!?

#6

CFAI’s ethics book. Page 172. ROS 7, Personal Investments & Trading