Regulations & ConductCâu 110 / 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
Giải thích
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.
Trích dẫn luật: Securities Act of 1933Luyện miễn phí toàn bộ 125 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- 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:
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