Thị trường vốnCâu 309 / 398
An investor purchases shares in a registered public offering. What document must the investor receive no later than at the confirmation of the sale?
a.A tombstone advertisement
b.A red herring
c.The final prospectus
d.The registration statement
Giải thích
The Securities Act of 1933 requires that a purchaser in a registered offering receive a final (statutory) prospectus no later than with the confirmation of the transaction. The final prospectus includes the public offering price and other terms finalized once the registration becomes 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
- 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?
- During the cooling-off period of a registration, which document may be used to obtain indications of interest from investors?
- 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:
- How does a selling group member differ from a syndicate member in an underwriting?
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