Series 22: Filing Requirements

Taken from our Series 22 Top-off Online Guide

Filing Requirements

All relevant documents and material information related to a public offering of securities must have been filed with and reviewed by FINRA before any FINRA member or associated person may participate in it. If the documents have not been filed by the issuer, they must be filed by the FINRA member participant. Relevant documents include:

• the offering’s registration statement, offering circular, offering memorandum, notification of filing, and any other document used to offer securities to the public

• any proposed underwriting agreement, agreement among underwr

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