Series 54: 1.3.2. Advising On Continuing Disclosure Filings (Not Advice)

Taken from our Series 54 Online Guide

1.3.2. 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 that the brok

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