Study how Series 87 tests public appearances, audience-specific controls, dissemination channels, and market-abuse risks.
Function 5 is smaller than report preparation, but it is where many research-control failures become public. Once research leaves the drafting process, the firm has to manage who receives it, how it is discussed, what disclosures travel with it, and which channels create rumor, manipulation, or recordkeeping risk.
Read this chapter as the distribution-control function. The first lesson focuses on the audiences that hear or see research and the limits on what can be said in public appearances or marketing settings. The second lesson focuses on the channels used to distribute research and the rules that make dissemination safe, recorded, and non-manipulative.
Learn how Series 87 tests research presentations to clients, sales, trading, issuers, media, and internal teams, including public-appearance disclosure duties.