Research Review

Oyster will provide a consultant who will hold a Series 87 and other FINRA licenses with the Firm to conduct Research Review and sign off as supervisory principal.

Notwithstanding the fact that the Oyster consultant will sign off as principal, the Firm’s Chief Compliance Officer (“CCO”) will hold ultimate responsibility for the accuracy and appropriateness of items reviewed. The Oyster consultant will assist the Firm in developing a plan and implementing procedures, developing deliverables and turnaround times for the reviews, and developing procedures for maintaining confidentiality of any drafts through the time of public dissemination.