New Issues and Underwriting
10 short videos covering every testable point in this unit. Pick a video below, or read any topic's full written lesson free in the CertFuel app, no signup wall.
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 
Initial Public Offering (IPO) Restrictions, Conflicts of Interest, and Anti-Manipulation 
Additional Filing and Notification Requirements Read this unit's lessons, free
Every topic in this unit has a full written lesson, free to read in the CertFuel app with no signup wall. When you're ready to drill it, the paid Series 7 course adds adaptive practice questions and spaced-repetition flashcards.