Series 54: Advising On Continuing Disclosure Filings (Not Advice)

Taken from our Series 54 Online Guide

Advising on Continuing Disclosure Filings (Not Advice)

Consider a situation in which a broker-dealer is engaged as an underwriter for a new issue of bonds, and, while performing due diligence, the broker-dealer discovers that the municipality did not fulfill its continuing disclosure responsibilities for an outstanding bond issue for which the broker-dealer is not an underwriter. The SEC has determined tha

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The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

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The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

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Series 54: Advising On Continuing Disclosure Filings (Not Advice)

Taken from our Series 54 Online Guide

Advising on Continuing Disclosure Filings (Not Advice)

Since you're reading about Series 54: Advising On Continuing Disclosure Filings (Not Advice), you might also be interested in:

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