Series 65: Underwriter Transactions

Taken from our Series 65 - NASAA Uniform Investment Advisor Law Exam

Definition of the term Underwriter Transactions...

transactions between a securities issuer and the issue’s underwriter(s) or transactions that take place among underwriters.

Since you're reading about Series 65: Underwriter Transactions, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!