SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering

Taken from our SIE Online Guide

9.2.16.4. Sale of Securities in a Fixed-Price Offering

No member that participates in a selling syndicate or selling group in connection with a fixed-price offering may offer any securities in the offering at a price below the stated public offering price. This restriction applies until the offering terminates or until the issuer or underwriter is unable to continue selling the securities at the public offering price.

This restriction includes both institutional and retail customers. Selling

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering, you might also be interested in:

Series 65 - Political Risk

Series 24 - Trading Halts on a Security

Series 65 - 8.1.1 Exemptions to the Securities Act of 1933

Series 65 - 7.3.6. Expected Return Using Probability Theory

Series 54 - 3.2.5.12. Submitting Forms G-37 and G-37x

Series 28 - Municipal Securities

Series 65 - Right of Limited Liability

Series 28 - Six-Year Minimum

Series 22 - 4.2.5. Communication Disclosure Rules

Series 50 - The Value of Credit Enhancements

Series 66 - Trading Securities

Series 28 - Failure to Send Notice

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering

Taken from our SIE Online Guide

9.2.16.4. Sale of Securities in a Fixed-Price Offering

Since you're reading about SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →