Thị trường vốnCâu 318 / 398
Under Regulation D, which of the following BEST describes an accredited investor?
a.Any investor who has taken a securities course
b.Only banks and insurance companies
c.Any U.S. citizen over the age of 18
d.An individual or institution meeting certain income, net worth, or professional criteria
Giải thích
An accredited investor is a person or entity that meets specific thresholds, such as sufficient income or net worth, or that qualifies as an institution like a bank or registered fund. Regulation D relies on accredited-investor status because such investors are presumed able to evaluate and bear the risks of a private placement.
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
- An offering in which some shares are newly issued by the company and other shares are sold by existing large shareholders is called a(n):
- The period after a registration statement is filed but before it becomes effective, during which no sales may be finalized, is called the:
- Which type of offering allows a company to raise capital by selling securities privately to accredited and a limited number of non-accredited investors without full SEC registration?
- A small company wants to raise up to $75 million from the public using a simplified, 'mini-registration' process with a formal offering circular. Which exemption is it most likely using?
- Securities sold in a Regulation D private placement are generally:
- Which of the following is an example of an exempt security under the Securities Act of 1933?
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