Series 24: The Registration Process

Taken from our Series 24 Online Guide

The Registration Process

Before an issuer can begin selling its securities, the issuer must register the new securities with the Securities and Exchange Commission (SEC). Before the stock market crash of 1929, many people invested in securities without having much information about their securities. Because of this lack of knowledge, speculative investing was common by investors who could not back up the risk of their investments, leading to a house of cards that eventually came crashing down. The Securities Act

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