Series 50: Continuing Disclosure Filings

Taken from our Series 50 Online Guide

Continuing Disclosure Filings

Consider a situation in which a broker-dealer is engaged as an underwriter for a new issue of bonds, and, while performing due diligence, the broker-dealer discovers that the municipality did not fulfill its continuing disclosure responsibilities for an outstanding bond issue for which the broker-dealer is not an underwriter. The SEC has determined that, in this instance, the broker-dealer can

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