Series 7 Exam Prep: Review the process for registering a new security in the primary market.
Jump to Key Moments
00:10 - Intro: The Registration Process
00:33 -The Registration Statement: Form S-1
00:50 - The Cooling Off Period
1:50 - The 3 Methods of Registration
2:20 - The Post Registration Period
2:30 - The Prospectus Delivery Requirements
2:55 - Regulation M
3:19 - Red Herring Prospectus
4:05 - Tombstone Ads
4:14 - Market Out Clause
Virginia Brockwell, our Series 7 in-field expert, explains the steps to registering a new issue, including:
The Pre-Registration Period & Form S-1
The 20-Day Cooling Off Period
The Three Methods of State Registration
The SEC Disclaimer & No-Approval Clause
The Post-Registration Period
Learn what activities you’ll be allowed to do as a securities professional during the registration process and cooling-off period, the prospectus delivery requirements, and the definitions of:
Regulation M
Summary, Red Herring, & Final Prospectus
Tombstone Ad
Market-Out Clause
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