Series 14: 6.1.6.2. Rule 138: Participating Broker-Dealers, Different Securities

Taken from our Series 14 Online Guide

6.1.6.2. Rule 138: Participating Broker-Dealers, Different Securities

Rule 138 provides that a broker-dealer that is participating or will participate in a distribution of a registered offering of securities of an issuer may nonetheless publish or distribute research reports about the issuer if the report concerns a different type of security than the type being distributed. In other words:

•If the research report relates to the issue

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