Series 79: Persons Liable

Taken from our Series 79 Top-off Online Guide

Persons Liable

The persons liable for an untrue statement or omission in a registration statement include:

  • Anyone who signed the registration statement
  • Anyone who was a director of, or partner in, the issuer at the time the registration statement was filed (and anyone named with his consent in the statement as being or about to become a director or partner)
  • Accountants, engineers, and other professionals who prep

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