Supervisory Analyst/FINRA Series 16

As a FINRA Series 16 registered analyst Michael is qualified to approve the following communications with the public:

  • research reports on debt and equity securities;
  • discussions of broad-based indices;
  • commentaries on economic political or market conditions;
  • technical analysis concerning the demand and supply for a sector, index or industry based on trading volume and price;
  • statistical summaries of multiple companies’ financial data, including listings of current ratings;
  • recommendations regarding increasing or decreasing holdings in particular industries or sectors;
  • notices of ratings or price target changes, provided certain conditions are met.