Series 24: 4.1.5.4.1. Pre-Filing Period

Taken from our Series 24 Online Guide

4.1.5.4.1. Pre-Filing Period

The registration process can be divided into three periods: the pre-filing, the cooling-off period, and the post-effective period. The pre-filing period is the period before the issuer files the registration statement with the SEC. During this period, the issuer prepares the registration statement. Securities cannot be offered, purchased, or sold during the pre-filing period.

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