Series 24: 4.1.4.2. Underwriting Agreement (UA)

Taken from our Series 24 Online Guide

4.1.4.2. Underwriting Agreement (UA)

The underwriting agreement (UA) is typically signed the evening before or the morning of the effective date of the security’s issue. Unlike the letter of intent, it is a binding agreement. The agreement sets the terms and conditions between the issuer and the lead underwriter. Recall that the Agreement Among Underwriters grants authority to the lead underwriter to enter into the UA with the issuer on its behalf. The agreement is filed with the SEC and becomes part of the registration statement.

The UA includes:

• The public offer

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 4.1.4.2. Underwriting Agreement (UA), you might also be interested in:

Series 24 - 5.7.1.2. ACT Reporting Requirements

Series 79 - Regulation D

Series 7 - Chapter Nine

Series 66 - 9.3.2. Discretion

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

I passed my Series 24 with two weeks of nearly full-time study, using the textbook, the online class, and the exam simulator. The textbook was very readable and helpful in providing complete explanations, as well as helpful memorization tips. The online class and pre-recorded sessions were crucial to get through all of the material and put it in relative context. It was helpful to be able to have questions answered instantly and via email afterward. The online simulator questions were just like the exam questions, and the immediate feedback function was essential for learning from the practice quizzes and exam. I needed every minute of my study and practice time to count, and Solomon Exam Prep made it possible. Thank you!

T. Richmond, Bethesda, MD

I passed the S24 today with a score of 80. Your study guide is great!!!

A.T.

I just took the Series 24 and passed with an 80%. I couldn't have done it without the Solomon test simulator.

Joseph Shapiro, Edward Jones Investments, St. Louis, MO

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA

Passed the 24 today ... fun test.. You have a great product. The material was easy to follow and the practice tests were very, very helpful. Thank you.

Danny Klingler, Kestra Financial, Austin, Texas