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Any Port in a Storm: Research Report Safe Harbors Chart

February 08, 2022

Brokers and dealers rely on a set of safe harbors to publish research reports related to the securities of individual issuers. Use this chart to keep track of the requirements applying to offering participation, compensation, types of securities to be reported on, and more for safe harbors under Rules 137, 138, 139, 139a, 139b, and under Securities Act Section 2(a)(3) for Emerging Growth Companies.

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