Series 7 Exam Prep: Review corporate actions in equity securities, including spin-offs, M&A, and tender offers.

Jump to Key Moments

00:10: Intro: Corporate Actions
00:24 – Corporate Actions Definition
00:40 – Spin-Offs
1:28 – Real World Spin-Off Example
1:55 – Consolidations & Transfers, SEC Rule 145
2:40 – Mergers & Acquisitions (M&A)
2:50 – Horizontal vs. Vertical Mergers
3:26 – Acquisitions & Leveraged Buyouts
3:31 – Tender Offers
4:21 – Odd-Lots

Virginia Brockwell, our Series 7 in-field expert, walks through the actions corporations can take that affect shareholders and provides real-world examples. Corporate actions that you’ll need to know for the Series 7 exam include:

Spin-Offs
Consolidations & Transfers
Mergers & Acquisitions
Horizontal Merger
Vertical Merger
Leveraged Buyout
Tender Offers
Odd Lot Tender Offers

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