Chapter 10: The Underwriting Process and Representation of Underwriters
§ 10.1  Overview of the Underwriting Process
§ 10.2  Definitions
§ 10.3  The Decision to Go Public
§ 10.4  Relationship Between the Issuer and the Underwriter
§ 10.5  Regulation of the Distribution Process
§ 10.6  The Underwriting Agreement
§ 10.7  Regulation by the Financial Industry Regulatory Authority and the Corporate Financing Rule
§ 10.8  Underwriter’s Liability
§ 10.8.1  Section 11
§ 10.8.2  Section 12(a)(2)
§ 10.8.3  Rule 10b-5
§ 10.9  Establishing the Due Diligence Defense
§ 10.10  Underwriter’s Procedures
§ 10.11  Analyst Research Reports
§ 10.11.1  Research Analysts Associated with or Employed by Broker-Dealers
§ 10.11.2  Other Research Analysts
§ 10.11.3  Risk of Company Liability for Research Reports
§ 10.11.4  Rules of the Self-Regulatory Organizations