Series 79 podcast · Episode 06
Execution and Distribution
44 min of listening
Underwriting & New Financing. Free audio, ready to play in your browser.
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Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Sales Force Education and Marketing Strategy
- Road Show and Investor Targeting
- Building the Book and Indications of Interest
- Sizing, Pricing, and Timing
- Allocation: Retail and Institutional Demand
- Underwriter's Spread Components
- New-Issue Allocation and Distribution Controls
- Overallotment Option
- Stabilization and Syndicate Covering
- Regulation M Trading Restrictions
- Suitability, Regulation Best Interest, and Form CRS
- Exchange Listing and State Preemption
Put this episode into practice with adaptive questions and flashcards in the full Series 79 course.