Series 50: Written Post-Issuance Policies

Taken from our Series 50 Online Guide

Written Post-Issuance Policies

The IRS also requires issuers to create written procedures to ensure that post-issuance compliance expectations are met. The written procedures should include:

• Due diligence review schedule
• The person who is in charge of conducting the review
• Training that is required for the person who conducts the review
• Recordkeeping that is sub

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I passed . Got an 84 on my Series 50. Solomon's prep material was pretty good. The practice tests were very helpful too. The numerical examples embedded within the theory really helped with the concepts. Made the material easy to read and understand.

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