Series 22: Disclosure Of Control Relationship With Issuer

Taken from our Series 22 Top-off Online Guide

Disclosure of Control Relationship with Issuer

A member controlled by, controlling, or under common control with the issuer of any security must disclose its control relationship before contracting with a customer for its purchase or sale. If the disclosure is not made in writing, written disclosure must be provided by the completion of the transaction.

FINRA Rule 2262

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