Series 79: Corporate Financing Rule

Taken from our Series 79 Top-off Online Guide

Corporate Financing Rule

FINRA Rule 5110 is widely known as the “corporate financing rule.” The rule sets out conditions for underwriter participation in a public offering. The rule is extremely long and detailed, but the key points are as follows.

The corporate financing rule prohibits a FINRA member or associated person (employee

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Fantastic prep for my Series 79 -- and I passed again!! Thank you Solomon!

Paul Werp, Connected Vision Advisors. Mountain View, CA

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