Offerings & Registration flashcards

28 cards on offerings & registration for the SIE exam. Short answers, one fact per card, and a line under each explaining why. Here is what the prompts look like:

• An offering where existing shareholders sell their own shares is a ＿＿＿ distributionAnswer inside
• The disclosure package an issuer files with the SEC before a public offering is the ＿＿＿ statementAnswer inside
• Which SEC form is the standard registration statement for a new issuer?Answer inside
• Which document must be delivered to every buyer of a new issue?Answer inside
• What is the nickname for the preliminary prospectus?Answer inside