Series 7: 12.2 Registration Process

Taken from our Series 7 Top-off Online Guide

12.2 Registration Process

Before an issuer can begin selling its securities, the issuer must register the new securities with the SEC. Before the stock market crash of 1929, many people invested in securities without having much information about the securities they were buying.

The Securities Act of 1933 was enacted to make sure investors have enough information about a security to make an informed decision. The Securities Act requires a registration process (described

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David Hartzell, Cornell Capital Management, New York

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