SIE: 6.1.6.1. Pre-Filing Period

Taken from our SIE Online Guide

6.1.6.1. Pre-Filing Period

The registration process can be divided into three periods, the pre-filing period, 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. As noted earlier, during this period, the issuer prepares the registration statement, which provides essential facts, including:

• A description of the company’s properties and business
• A description of the security to be offered for sale

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 6.1.6.1. Pre-Filing Period, you might also be interested in:

Series 65 - Weak Form Efficient Market Hypothesis

Series 14 - 1.1. The Securities Act of 1933

Series 26 - Closed-End Fund Distributions

Series 14 - 4.1.9.2. Reduction of Business

Series 79 - 3.2.3. Price/Earnings Ratio and Earnings Yield

Series 7 - 2.10.1. Income Bonds

Series 14 - 2.2. NMS vs. OTC Securities

SIE - Stop-Limit Orders

Series 52 - Sharing of Customer Accounts

Series 66 - Deferred Annuity/Surrender Periods

Series 6 - 1.3.2.4. Sales Literature Deemed Misleading

Series 7 - 9.2. Tools of Government Policy

Series 79 - 3.1.5.3. Payables Turnover Ratio

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA

I am so happy to announce that I passed the SIE on July 1st! Thank you, Solomon the book, videos, and exam simulator were the best! I went to the test with confidence, and I must say I felt like I was prepared for every question. I had more than enough time to complete all the questions and reviewed my answers. Series 6, here I come! Let's Go, Solomon!

Leanene Carriere, Nameloc Inc. Houston, TX

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA