Series 99: 1.2.4.1 Securities Disclosures

Taken from our Series 99 Top-off Online Guide

1.2.4.1  Securities Disclosures

The Securities Act of 1933 regulates the registration of securities that are sold to the public. The Act requires that issuers of new securities register their securities prior to their sale unless they meet an exemption. The registration statement must be accompanied by a prospectus, for delivery to potential investors.

Since you're reading about Series 99: 1.2.4.1 Securities Disclosures, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!