Series 63: Prospectus Delivery Requirements

Taken from our Series 63 Online Guide

Prospectus Delivery Requirements

To further protect investors from shady new issues, the law requires a prospectus (detailed description of the issue) to be delivered by the completion of the transaction, which means the time that the security settles, to each investor who purchases a newly issued security.

A prospectus contains a large amount of the factual data about a security offering and helps giv

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