sbmarti2; your a fantastic contributor to this board, glad to help.
Blackout Period:
Is a period (0 - 60 days) during which employees (PMs/analysts…) may not adjust the investments contained in their plans. Typically they occur when significant events/changes are occurring. Example; In a large firm a blackout period is essentially a large trading ban. In a small firm, the blackout period is likely to prevent a manager from activities such as front running.
Watch List:
List of securities being monitored particularly closely by a brokerage or exchange to spot irregularities which might be caused by rule violations. Think of this as a by-product of a firewall in a corporation. If you have chinese walls enabled, you don’t really want to say “don’t trade on this security we have non-public material information on”….instead a watch list on that particular security can be monitored closely, and the reasoning behind each can be further investigated if a suspicion is warranted.
Rumour List:
Wish I could help here, but there is no mention in the SPH of a rumour list that I am aware of and I couldn’t find anything online (although it was a quick search). It if is a prominent topic, i’d be interested if anyone could weigh in.
Restricted List:
Nothing much to this, its just a list of firms that the firm is unwilling to permit dissemination of opinions, typically because they have an apparent or actual conflict of interest. Once on the restricted list, the company is removed from the research universe and strictly limited to factual information. People may still want to inquire about the security, but responses are limited to factual information only.