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Series 7 Exam Prep Seeks Business for Broker-Dealer (9 questions). Function 1 FINRA ContentOutline.
Автор: Series 7 Guru
Загружено: 2021-05-07
Просмотров: 12992
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Watch this next • Series 7 Exam Prep New Accounts, Financial...
TIME STAMPS:
1:29 Correspondence
2:28 Retail communications
3:44 OCC Disclosure Document
5:57 Pre file 10 days prior to first use
8:00 Cooling off period
9:04 Preliminary prospectus AKA red herring
9:57 Indications of interest (IOIs)
10:22 Tombstone
11:00 Underwriting agreement
11:34 Selling agreement
12:31 Blue Sky
14:38 Notice of sale
16:55 Components of the spread
17:16 Management fee
17:32 Selling concession
20:14 Official statement
21:14 QIBs
23:09 Accredited investors
24:16 Regulation A. NOW 75,000,000!!!
24:57 Rule 147 Intrastate offering
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