Series 22: Dealer-Managed DPP Offerings

Taken from our Series 22 Top-off Online Guide

Dealer-Managed DPP Offerings

With a dealer-managed offering, the DPP sponsor appoints a broker-dealer to manage the issuance of the program’s securities or units of interest. The dealer-manager performs the functions of an underwriter: assisting in the registration process, promoting the issuance, providing marketing assistance and financial advice, and selling the securities. The dealer-manager agreement lays out the responsibilities of the dealer and the issuer, the compensation the dealer-manager will be paid, and an indemnification clause that absolves the de

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