New Issues and Underwriting

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:

• The New-Issue Process: Bringing Securities to Market
• Registration Periods and Permitted Communications
• Prospectus Requirements and Shelf Registration
• Syndicate Formation and Operational Procedures
• Municipal Securities Primary Financing
• Exempt Offerings and Private Placements
• Resale of Restricted and Control Securities
• Foreign Securities and Regulation S
• IPO Restrictions, Conflicts of Interest, and Anti-Manipulation
• Additional Filing and Notification Requirements

Put this episode into practice with adaptive questions and flashcards in the full Series 7 course.