Series 82: 1.2.1.2. Specific Communications Rules

Taken from our Series 82 Top-off Online Guide

1.2.1.2. Specific Communications Rules

The Securities Act of 1933 prohibits anyone engaged in an underwriting from selling securities in an issue before the filing of a registration statement. Section 5(b) of the Act permits offers to sell during the cooling-off period if they are made by means of a valid pros

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