Series 7 Exam Prep 72, Securities Act of 1933
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 Securities Act of 1933 governs the primary market, requiring registration and full disclosure for all non-exempt new issues. - The key phases of registration are the pre-filing, the cooling-off period (where marketing is allowed with a preliminary…
The skinny
The skinny isn't ready yet — notes appear once the transcript is processed.