Series 79 podcast · Episode 04
Public Offerings
45 min of listening
Underwriting & New Financing. 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:
- The Registration Spine and the Three Periods
- Registration Statement and Prospectus Content
- Forms of Prospectus
- Permissible Communications: Pre-Filing Period
- Permissible Communications: Waiting Period
- Research Safe Harbors During a Distribution
- Shelf Registration and Well-Known Seasoned Issuers
- Prospectus Delivery
- Jumpstart Our Business Startups (JOBS) Act and Emerging Growth Companies
- Corporate Financing and Conflicts of Interest
- Civil Liabilities and Anti-Fraud
- Selective Disclosure: Regulation FD
- Communication-Related Liabilities and Definitions
- Exchange Act Registration of the Newly Public Issuer
Put this episode into practice with adaptive questions and flashcards in the full Series 79 course.