Series 14: 6.1.6.1. Rule 137: Research By Nonparticipating Broker-Dealers

Taken from our Series 14 Online Guide

6.1.6.1. Rule 137: Research by Nonparticipating Broker-Dealers

Rule 137 carves out a safe harbor from the definition of “offer” for a research report which is published or distributed by a broker-dealer that is not participating and does not plan to participate in the distribution of the issuer’s offering, provided the followin

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