Series 52: Exercise

Taken from our Series 52 Top Off Online Guide

Exercise

Answer the following questions

  1. 1. What is the most significant difference between the preliminary official statement and the final official statement?
  2. 2. If a customer requests a copy of the preliminary official statement, how long does the underwriter have to deliver it?
  3. 3. When must the underwriter receive the continuing disclosure agreement from the issuer?

A

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