Series 24 Exam Prep - Investment Banking and Research
Автор: Series 7 Guru
Загружено: 2022-01-03
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Time stamps:
00:00 Intro
1:31 Best efforts
2:20 Escrow account for best efforts underwritings
3:40 Firm commitment underwriting
5:15 30% haircuts for inventory positions resulting from a firm commitment underwriting
5:40 No purchases on margin 30 days from the effective date
6:35 Stabilization and stabilizing bids
10:35 Exempt transactions
11:05 Rule 147 and 147A
12:00 Reg A
12:30 Reg S
13:43 PIPEs (Private Investments in Public Equity)
14:10 QIBs (Qualified Institutional Investors) and 144A
15:48 Reg D
16:05 506b
17:00 Accreditation standards under Reg D
18:45 506c
19:51 504
20:45 Rule 145
20:23 Fairness opinion
24:47 Self underwritings
27:01 S-1 and the cooling off period
28:54 Red herring AKA preliminary prospectus
29:40 indications of interests (IOIs)
32:45 15% Greenshoe
33:50 State registration
35:27 Research reports
36:47 Rule 137
38:27 Rule 138
40:45 Rule 139
40:55 Well known seasoned issuer (WKSI)
42:34 Corporate finance fairness of the spread
47:59 Reporting requirements of an issuer
48:28 Reg FD and 8K
50:43 Reporting requirements of non issuers
50:50 13 D 5%
51:35 13 G
52:00 Rule 144
53:15 Issuer buying its own securities
54:23 Tender offers
54:50 Research conflicts and independence from investment banking
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