Series 7 Exam Prep 4, New Issues, Underwriting, and Prospectus Delivery
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The primary issuance process begins with filing an S-1 registration statement, which initiates a 20-day cooling-off period for SEC review. - During the cooling-off period, underwriters use a preliminary prospectus, or red herring, to gather non-binding…
The skinny
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