Series 79: Prospectus For Use Prior To Effective Date: The Preliminary Prospectus/Red Herring (Rule 430)

Taken from our Series 79 Top-off Online Guide

Prospectus for Use Prior to Effective Date: The Preliminary Prospectus/Red Herring (Rule 430)

Rule 430 is deceptively simple, but it is a critical part of the regulatory scheme for public offerings. The rule provides that a preliminary prospectus meets the statutory requirements for a prospectus during the post-filing, pre-effe

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Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

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