Series 63 podcast · Episode 09
State Registration and Post-Registration Requirements
55 min of listening
Regulations of Securities and Issuers. 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:
- Registration Requirement
- Registration by Filing (Notification)
- Registration by Coordination
- Registration by Qualification
- Provisions Applicable to All Registration Methods
- Stop Orders
- Federal Covered Securities
- The Federal Registration Timeline and Tombstone Ads
- Comparison of Registration Methods
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.