Series 24: Summary Of Registration Process

Taken from our Series 24 Online Guide

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Summary of Registration Process

• Pre-filing Period
◊ Registration statement filed
◊ Preliminary prospectus filed
◊ Customer communication prohibited
• Cooling-off Period
◊ SEC given 20 days to review registration statement
◊ Underwriters embark on “road show” to solicit interest
◊ Free-writing prospectus distributed
◊ Range of prices offered for the new issue
◊ Cooling off ends 20 days after last “qualified” decision
• Post-filing Period
◊ Underwriters set price of issue
◊ Underwrit

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