Series 50: Written Post-Issuance Policies

Taken from our Series 50 Online Guide

Written Post-Issuance Policies

The IRS also requires issuers to create written procedures to ensure that post-issuance compliance expectations are met. The written procedures should include:

• Due diligence review schedule
• The person who is in charge of conducting the review
• Training that is required for the person who conducts the review
• Recordkeeping that is sub

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