Series 79: Required Disclosures Where Opinion Will Be Disclosed To Shareholders Of A Public Company

Taken from our Series 79 Top-off Online Guide

Required Disclosures Where Opinion Will Be Disclosed to Shareholders of a Public Company

If a company issuing a fairness opinion to a company board of directors knows or has reason to know at the time it issues the opinion that the opinion will be provided or described to public shareholders, it must disclose the following information:

• If the member has served as a financial advisor to any party to the transaction that is the subject of the fairness opinion
• If the member will receive compensation or significant payment contingent on the successful completion of the transaction
• If any material relationship between the member and any party to the transaction that is the subject of the

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