FINRA Series 22 Exam lessons

Series 22 Exam Lesson 11 DPP Offerings: 2021


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Lesson 11 DPP Offerings: The SEC and FINRA have different rules about how limited partnerships are distributed. They can be directly distributed by a sponsor, through a sponsor managed offering, or through a broker-dealer. In the final case, the broker-dealer will enter into a distribution agreement with the sponsor and then they have to make ... Read more
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FINRA Series 22 Exam lessonsBy FINRA Series 22 Exam lessons

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