Series 65: Prospectus Delivery Requirements

Taken from our Series 65 Online Guide

Prospectus Delivery Requirements

To further protect investors from shady new issues, the law requires a prospectus (detailed description of the issue) to be delivered to each investor who purchases a security that has been newly issued by the completion of the transaction, which means the time that the security settles.

A prospectus contains a large amount of the factual data about a security offerin

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