Issuing Corporate Securities - Misrepresentations

Financial relief for misrepresentations made under the Securities Act of 1933 is available for purchasers of any security that is sold under a prospectus that is found to contain false or misleading statements. Purchasers of the security may be entitled to seek financial relief from any or all of the following:

  • The issuer
  • The underwriters
  • Officers and directors
  • All parties who signed the registration statement
  • Accountants and attorneys who helped prepare the registration statement

A due diligence meeting will be held during the cooling off period to ensure that the information contained in the prospectus is accurate.

How to Pass The Series 55 Exam

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