Series 24: Due Diligence Defense

Taken from our Series 24 - FINRA General Principal Qualification Examination

Definition of the term Due Diligence Defense...

a legal defense in which a defendant may not be deemed liable for a false registration statement if it can prove it used due diligence in preparing and reviewing the registration statement. The issuer cannot use a due diligence defense, although its directors, officers, and employees can, as can underwriters and their associated persons.

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