Business, 28.01.2020 19:42, slimt3763

Aregistered representative in your office wants to sell an issue of a private offering for another firm. this would be allowed if all of the following provisions are met except(a)written notice is filed with finra(b)the member firm provides written approval for the transactions(c)the private offering has satisfied sec and state requirements(d)information related to the offering is provided to the rr's broker/dealer upon request

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Aregistered representative in your office wants to sell an issue of a private offering for another f...