Series 7: 11.1.6.1. Disclosure Of Control Relationship With Issuer

Taken from our Series 7 Online Guide

11.1.6.1. Disclosure of Control Relationship with Issuer

A member controlled by, controlling, or under common control with the issuer of any security must disclose its control relationship before contracting with a customer for its purchas

Since you're reading about Series 7: 11.1.6.1. Disclosure Of Control Relationship With Issuer, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7
Please Enable Javascript
to view this content!