Series 66: 8.1.2.2 Incorporation By Reference

Taken from our Series 66 Online Guide

8.1.2.2 Incorporation by Reference

Occasionally, the exam will ask you about a concept called incorporation by reference. This is a general legal concept that is applied under the Uniform Securities Act. Essentially, what it says is that a document about the same security or issuer filed within the previous five years can simply be referenced in a new filing.

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