Series 79: Enhanced Conflict Of Interest Provisions

Taken from our Series 79 Top-off Online Guide

Enhanced Conflict of Interest Provisions

Section 402 of Sarbanes-Oxley prohibits any issuer from making a personal loan or extending credit directly or indirectly, including through subsidiaries, to any of its directors or executive officers. The prohibition is far-reaching and even applies to arrangements to extend credit and to the renewal or maintenance of an existing extension of credit.

There are exceptions to this broad prohibition for consumer credit, charg

Since you're reading about Series 79: Enhanced Conflict Of Interest Provisions, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 79
Please Enable Javascript
to view this content!