Series 53: Order Period And Order Priorities

Taken from our Series 53 Online Guide

Order Period and Order Priorities

The syndicate manager must provide a summary of the rules of order priority to each syndicate member. This must be submitted before any offer is made to a customer. These rules can be included in the syndicate letter or Agreement Among Underwriters and must include:

• A written statement of all terms and conditions required by the issuer
• The priority provis

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