Compliance Policy

JNK Research™ has adopted a comprehensive compliance program, leveraging its extensive experience in the regulated financial markets. Although no longer required to be members of FINRA or subject to SEC oversight, we adhere 100% to their regulatory standards to ensure the integrity and professionalism of our work. 

We engage an experienced third-party compliance firm and have implemented robust policies outlined in a detailed compliance handbook, which all staff are required to review annually and during onboarding. Our compliance training covers relevant laws and regulations, the handling of material non-public information (MNPI), regulatory risk, personal trading, business communications, and cybersecurity. 

We maintain strict personal account monitoring and enforce restrictions on trading securities related to the Semiconductor and AI sectors, as well as any securities prominently featured in our research. All research is thoroughly reviewed by a qualified professional holding the Series 24 (General Securities Principal) certification prior to publication. This process involves collaboration with personnel who hold various relevant certifications, including the Series 7 (General Securities Representative), Series 55, Series 63, Series 99, and Series 25, ensuring compliance with industry standards and regulatory requirements. 

Our communications follow rigorous compliance policies with monitoring and record-keeping systems in place. While we do not offer investment advice, ratings, or valuations, we provide objective, data-driven insights into industry trends, firm performance, and market dynamics—helping clients understand revenue, costs, and margins historically and on a forward-looking basis.