Regulations & ConductPregunta 110 de 125
A private placement conducted under Regulation D of the Securities Act of 1933 is:
a.A public offering requiring a full prospectus
b.An exempt offering sold primarily to accredited investors without full SEC registration
c.A municipal bond offering
d.A guaranteed government security
Explicación
Regulation D provides exemptions from full registration for private placements sold mainly to accredited investors, with limits on general solicitation and on the number of non-accredited investors depending on the specific rule used. These securities are typically restricted and cannot be freely resold without meeting conditions.
Referencia Legal: Securities Act of 1933Practica las 125 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- During the cooling-off period of a registered offering, a broker-dealer may:
- A preliminary prospectus (red herring) used before a registration is effective:
- In a firm commitment underwriting, the underwriter:
- The Securities Exchange Act of 1934 is best known for:
- Trading securities on the basis of material, nonpublic information is prohibited as:
- Under FINRA rules, communications with the public are generally categorized as:
Última revisión: · proceso editorial
Equipo Editorial de PrepPass · Verificado con FINRA Series 7 General Securities Representative Exam · Cómo revisamos