RegulationsCâu 44 / 110
During the cooling-off period for a registered offering, a representative may:
a.Accept payment from customers who commit to buy
b.Send a preliminary prospectus and accept non-binding indications of interest
c.Send research reports praising the issuer to prospective buyers
d.Confirm sales at the anticipated offering price
Giải thích
Between filing and effectiveness, the only permitted activities are distributing the preliminary prospectus, or red herring, and gathering indications of interest that bind no one. Taking money, confirming sales, or circulating promotional material would be an illegal offer or sale of an unregistered security. Sales may occur only after the registration is declared effective and the final prospectus is available.
Trích dẫn luật: Securities Act of 1933Luyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- The principal purpose of the Securities Act of 1933 is to:
- Registration of a securities offering with the SEC means that:
- Which of the following is an exempt security under the Securities Act of 1933?
- The Securities Exchange Act of 1934 is best known for:
- Under the Investment Company Act of 1940, what portion of a registered fund's board must consist of directors who are not affiliated with the fund's adviser or underwriter?
- Before a newly formed open-end fund may offer shares to the public, the Investment Company Act of 1940 requires it to have:
Cập nhật gần nhất: · quy trình kiểm tra
Đội Ngũ Biên Tập PrepPass · Đối chiếu với FINRA Series 6 — Investment Company & Variable Contracts Rep · Quy trình kiểm tra