Series 79 podcast · Episode 09
Exempt Transactions (1933 Act)
48 min of listening
Underwriting & New Financing. Available inside the full CertFuel Series 79 course in the app.
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:
- How Do Exempt Transactions Fit Together?
- How Does the Regulation D Framework Operate?
- Who Qualifies as an Accredited Investor?
- How Does the Small-Offering Tier Cover Small Offerings?
- How Do the Private-Placement and Verified-Solicitation Paths Differ?
- How Does the Public-Resale Safe Harbor Permit Restricted and Control-Security Resales?
- How Does the Institutional Private-Resale Safe Harbor Support Institutional Private Resales?
- How Does Regulation S Cover Offshore Transactions?
- How Do FINRA Member Private Offerings Work?
- How Does a Private Placement Move From Mandate to Closing?
- How Can a Control Person Resell Securities?
Put this episode into practice with adaptive questions and flashcards in the full Series 79 course.