Series 6 podcast · Episode 02
Soliciting Business and New Issues
42 min of listening
Seeking Business. 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:
- Prospectus Requirements and Timeliness
- Process for Bringing New Issues to Market
- Municipal New Issues: POS, OS, and Notice of Sale
- Regulation D Private Placements
- Communications Rules and Prospectus Delivery
- Exempt Securities and Intrastate Offerings
- Antifraud, Competition, and Recordkeeping
- Networking Arrangements and Taping Rule
Put this episode into practice with adaptive questions and flashcards in the full Series 6 course.