The Public Offering, Registration, and Communications
Free FINRA Series 79 (Investment Banking Representative) lesson in Underwriting, Offerings and Registration of Securities. 19 min read, ~2,821 words.
The registration statement is filed under Securities Act Section 5; Section 7 lists required contents; Section 10 governs the prospectus that is part of it. The preliminary prospectus (red herring) circulates during the waiting period; the final prospectus must accompany or precede delivery of the security. Rule 415 permits shelf...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Check Your Understanding
- Exam Shortcuts
Learning objectives
- B13
- B14
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