Series 24: 4.1.12.1. Liability For False Registration Statements

Taken from our Series 24 Online Guide

4.1.12.1.  Liability for False Registration Statements

Section 11 of the Securities Act of 1933 lays out the consequences for filing a misleading registration statement. Under the Act, investors may sue various parties involved in the registration process of a new offering if there has been a material misrepresentation or omission in the registration statement. Defendants may include any party that signed the registration statement, including:

The issuer

The issuer’s executive officers

The issuer’s principal accou

Since you're reading about Series 24: 4.1.12.1. Liability For False Registration Statements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 24
Please Enable Javascript
to view this content!