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萨班斯法案（2002）Sec.501.(3)
"(c)DEFINITIONS.-In this section-
"(1)the term'securities analyst'means any associated person of a registered broker or dealer that is principally responsible for,and any associated person who reports directly or indirectly to a securities analyst in connection with,the preparation of the substance of a research report,whether or not any such person has the job title of'securities analyst';and
"(2)the term'research report'means a written or electronic communication that includes an analysis of equity securities of individual companies or industries,and that provides information reasonably sufficient upon which to base an investment decision.".
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