Series 79: Chapter Seven

Taken from our Series 79 Online Guide

Chapter Seven

The Pre-Filing Period

The specific obligations of an underwriter of a public offering depend on what type of underwriting commitment the underwriter has made to the issuer, the size and other characteristics of the issuer, and whether the issuer wishes to sell the securities on an immediate, continuing, or delayed basis.

Since you're reading about Series 79: Chapter Seven, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 79
Please Enable Javascript
to view this content!