Due Diligence: Sell-Side, Buy-Side, and Sarbanes-Oxley
Free FINRA Series 79 (Investment Banking Representative) lesson in Collection, Analysis and Evaluation of Data. 19 min read, ~2,884 words.
The disclosure standard: an offering document must not state an untrue material fact or omit a material fact needed to make its statements not misleading. Sell-side diligence reviews the issuer's business and financials, interviews management, contacts vendors, suppliers, and customers, runs site visits, and ends with bring-down diligence just before...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Check Your Understanding
- Exam Shortcuts
Learning objectives
- A11
- A12
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