Series 55

By Jeff Van Blarcom AAA

Issuing Corporate Securities - SEC Disclaimer

The SEC reviews the issuer’s registration statement and the prospectus, but does not guarantee the accuracy or adequacy of the information. The SEC disclaimer must appear on the cover of all prospectuses and states: “These securities have not been approved or disapproved by the SEC nor have any representations been made about the accuracy of the adequacy of the information.”



Misrepresentations

You May Also Like

Related Articles
  1. Professionals

    Breaking Down Financial Securities Licenses

  2. Professionals

    Sell-Side Analysts Need Series 86/87 ...

  3. Professionals

    Succeeding At The Series 63 Exam

  4. Professionals

    Becoming A Registered Investment Advisor

  5. Investing Basics

    Online Portfolio Management, DIY or ...

Trading Center