Series 22: 6.1. FINRA Conditions For Participation In A Public Offering

Taken from our Series 22 Top-off Online Guide

6.1. FINRA Conditions for Participation in a Public Offering

FINRA’s oversight of its members’ participation in a public DPP offering is largely governed by two rules. Rule 5110 (Corporate Financing Rule) prohibits unfair underwriting arrangements and lays out guidelines as to what it

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