Series 7: 3.6.34 Rule G-34—CUSIP Numbers Procedures

Taken from our Series 7 Top-off Online Guide

3.6.34 Rule G-34—CUSIP Numbers Procedures

Underwriters and financial advisors must apply for a CUSIP number to the MSRB for a new issue within a specified timeframe, depending on the type of underwriting. For a negotiated sale, it is right after the pricing is finalized. For a competitive sale, it is right after the selection of an underwriter.

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