Series 6 - Investment Company And Variable Contracts Products Representative Exam
Preview Mode
When does an issue become effective?
After the 10-day cooling-off period ends
A
After the SEC has completed its review
B
After the underwriters and issuer have held at least 10 due diligence meetings
C
After the S-1 has been filed
D
Explanations
A registration becomes effective when the SEC has completed its review.