Use this button to switch between dark and light mode.

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.


Related Content


Practical Guidance Updates

Featuring the latest updates from your Practical Guidance account.

Experience results today with practical guidance, legal research, and data-driven insights—all in one place.

Experience Lexis+