Series 24: Ineligible Issuer

Taken from our Series 24 - FINRA General Principal Qualification Examination

Definition of the term Ineligible Issuer...

an issuer that is judged ineligible by the SEC to take advantage of certain streamlined procedures for accessing the capital markets. Ineligible issuers are not considered WKSIs even if they otherwise qualify, cannot use electronic road shows, and are extremely limited in their use of FWPs. Ineligible issuers include companies that failed to file required SEC reports, shell companies, penny stock issuers, and issuers that have SEC violations.

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As easy and painless as it could ever get (Series 24)!

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Thadius Beavers, Prospera Financial. Dallas, TX.

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Bill Harpe, Capital Choice. Greensboro, GA