Series 79: Participating Broker-Dealers, Issuer-Specific Reports, And Industry Reports (Rule 139)

Taken from our Series 79 Top-off Online Guide

Participating Broker-Dealers, Issuer-Specific Reports, and Industry Reports (Rule 139)

Under Rule 139, a broker-dealer that is participating in the distribution of an issuer’s registered offering may publish or distribute a research report about the issuer or any of its securities (including the ones being distributed in the offering) under either of two different circumstances.

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