Transactions, Agreements, and Disputes

The fourth Series 22 chapter covers what happens when the customer is ready to invest and when something goes wrong afterward. This means providing subscription and pricing information, processing and confirming the transaction, and escalating discrepancies, complaints, or account issues to the appropriate supervisor. It is a small part of the exam by weight, but it is an easy place to lose points through process mistakes.

Read this chapter as the closing-and-escalation layer of the DPP workflow. The representative has to know how the transaction is documented, how the customer’s agreement is captured, and how breaks or disputes are surfaced instead of ignored.

Series 22 section lessons

Use these section lessons as the main reading path for this Series 22 function. They follow the current DPP representative workflow and keep product facts tied to communication, suitability, disclosure, and documentation decisions.

In this section

• Subscription Information, Pricing, and Agreements
  Review how Series 22 tests subscription details, offering prices, investor agreements, and the final pre-processing steps in a DPP sale.
• Processing Transactions and Confirmations
  Learn the transaction-processing and confirmation rules that complete the DPP sale on Series 22.
• Discrepancies, Disputes, and Complaints
  Review how Series 22 expects representatives to escalate transaction breaks, customer disputes, and complaint issues to supervision.