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Series 7 Notes

Equity Securities

Stock Form of Ownership Equity in a Company
Syndicate Group of Underwriters, each responsible for selling a portion of the securities
Syndicate Agreement syndicate members who agree to who gets paid, responsibility of each member
Eastern Syndicate Account responsibility of sales is shared among members
Western Syndicate Account each member is ONLY responsible for their portion of assigned syndicate shares
Steps in Registering Securities (6) (1) Register w/ SEC (2)Preliminary prospectus/red herring (3) from syndicate (4) due diligence meeting (5) Meet Blue Sky Laws (6) Public Offering / final prospectus
Ways to Register w/ State (3) Coordination - issuing co files w/ SEC & SEC helps file w/ State Qualification: Sec Exempt from filing with SEC but must file with State Notification: Established co. already filed w/ state can renew application
Initial Public Offering (IPO)
Created by: ren117