Series 22: 6.1.4. Securities Valuation

Taken from our Series 22 Top-off Online Guide

6.1.4. Securities Valuation

Participation by a member firm in a public offering of DPP securities is not permitted, unless the issuer of the DPP has agreed to disclose a per-share estimation of the DPP security’s value developed in a manner reasonably designed to ensure its reliability. The DPP must also disclose to the member firm an e

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