Series 79: Securities Fraud

Taken from our Series 79 Top-off Online Guide

Securities Fraud

Rule 13e-3 and Rule 13e-4 both prohibit the use of fraudulent or deceptive practices in connection with an issuer tender offer. For purposes of tender offers, both rules include within the scope of fraudulent and deceptive practices any failure to follow the primary filing, disclosure, and tender offer practices prescribed in the applicable rule.

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Solomon Exam Prep Study Materials for the Series 79
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