Series 7 – The Registration Process of Securities

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Series 7 Exam Prep: Review the process for registering a new security in the primary market. • Jump to Key Moments • 00:10 – Intro: The Registration Process • 00:33 –The Registration Statement: Form S-1 • 00:50 – The Cooling Off Period • 1:50 – The 3 Methods of Registration • 2:20 – The Post Registration Period • 2:30 – The Prospectus Delivery Requirements • 2:55 – Regulation M • 3:19 – Red Herring Prospectus • 4:05 – Tombstone Ads • 4:14 – Market Out Clause • Virginia Brockwell, our Series 7 in-field expert, explains the steps to registering a new issue, including: • The Pre-Registration Period Form S-1 • The 20-Day Cooling Off Period • The Three Methods of State Registration • The SEC Disclaimer No-Approval Clause • The Post-Registration Period • Learn what activities you’ll be allowed to do as a securities professional during the registration process and cooling-off period, the prospectus delivery requirements, and the definitions of: • Regulation M • Summary, Red Herring, Final Prospectus • Tombstone Ad • Market-Out Clause • This video is a part of A.D. Banker’s Series 7 Exam Prep offering. Our Series 7 On-Demand Video Library includes over 100 videos to help you review exam topics, work through practice questions, and ace your Series 7 Top-Off Exam. https://www.adbanker.com/pre-licensin... • Get licensed faster with A.D. Banker’s online Series 7 Exam Prep course and On-Demand videos today! • https://www.adbanker.com/pre-licensin... • • #Series7 #PracticeQuestions #FINRAExam #TopOffExam #SecuritiesExam #StudyGuide #ADBanker #Series7Exam #RegistrationProcess #SecuritiesRegistration

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