Series 7: 12.5.3 Sales Of Securities At Reduced Prices

Taken from our Series 7 Top-off Online Guide

12.5.3 Sales of Securities at Reduced Prices

A reduced price is any price below the stated public offering price. No member of the syndicate or selling group may offer securities from the offering to anyone outside the syndicate or selling group at a reduced price.

FINRA Rule 5141

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Since you're reading about Series 7: 12.5.3 Sales Of Securities At Reduced Prices, you might also be interested in:

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