Series 57 podcast · Episode 08
IPOs, Secondary Offerings and Safe Harbor
59 min of listening
Trading Specific Products. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- New Issues, Initial Public Offerings and Distributions
- The Regulation M Restricted Period
- Short Sales Around a Public Offering
- Trading a New Listing
- New Issue Allocations and Spinning
- Penalty Bids
- Stabilizing Bids
- Passive Market Making
- Required Notification Related to IPOs and Secondary Offerings
- The Issuer Repurchase Safe Harbor
- Trading Plans and the Insider Trading Defense
- Regulation D Offerings
Put this episode into practice with adaptive questions and flashcards in the full Series 57 course.