Recordkeeping, Exempt Securities, and Private Placements
Free FINRA Series 79 (Investment Banking Representative) lesson in Underwriting, Offerings and Registration of Securities. 16 min read, ~2,421 words.
SEC Rule 17a-3 governs records to be MADE; Rule 17a-4 governs records to be PRESERVED; FINRA Rule 4511 sets general requirements with a 6-year default retention. FINRA Rule 11880 requires syndicate accounts to be settled within 90 days of the syndicate settlement date. Exchange Act Section 10A requires the issuer's...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Check Your Understanding
- Exam Shortcuts
Learning objectives
- B19
- B20
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