Series 65: Chapter Nine: Regulation Of Securities And Issuers And The Powers Of The Administrator

Taken from our Series 65 Online Guide

Chapter Nine

Regulation of Securities and Issuers and the Powers of the Administrator

(4 questions out of 130)

A major shift in the investing landscape over the last 20 years has been the investing public’s fascination with the IPO, or initial public offering, of a security. There was a point in the late 1990s, at the height of the dot-com boom, where getting your hands on an IPO before it actually began trading in the marketplace seemed to almost guarantee that an investor would double or triple their money on the

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