Series 79: Regulatory Wires

Taken from our Series 79 Top-off Online Guide

Regulatory Wires

In addition to sending out deal wires, the lead underwriter is also charged with filing forms relating to the distribution with FINRA and other SROs. These “regulatory wires” must be filed

Since you're reading about Series 79: Regulatory Wires, you might also be interested in:

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