Series 79: Participating Broker-Dealers, Different Securities (Rule 138)

Taken from our Series 79 Top-off Online Guide

Participating Broker-Dealers, Different Securities (Rule 138)

Rule 138 provides that a broker-dealer that is participating or will participate in a distribution of a registered offering of securities of an issuer may nonetheless publish or distribute research reports about the issuer if the report concerns a different type of security than the type being distributed. In other words:

• If the research report relates to the issuer’s co

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