Thị trường vốnCâu 308 / 398
During the cooling-off period of a registration, which document may be used to obtain indications of interest from investors?
a.The final (statutory) prospectus
b.The preliminary prospectus (red herring)
c.A tombstone contract
d.The registration statement itself
Giải thích
During the cooling-off period, the preliminary prospectus, known as a red herring, may be distributed to gather non-binding indications of interest. It omits the final public offering price and effective date, which appear in the final prospectus once the registration is effective.
Trích dẫn luật: Securities Act of 1933Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Under a best-efforts underwriting, what happens to shares that the syndicate cannot sell?
- Several broker-dealers join together to share the risk and distribution responsibilities of a large securities offering. This group is called a(n):
- What is a tombstone advertisement?
- An investor purchases shares in a registered public offering. What document must the investor receive no later than at the confirmation of the sale?
- Which statement about the SEC's review of a registration statement is TRUE?
- The broker-dealer that organizes an underwriting syndicate, negotiates with the issuer, and coordinates the offering is known as the:
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