Thị trường vốnCâu 320 / 398
Securities sold in a Regulation D private placement are generally:
a.Freely tradable in the public market immediately
b.Restricted securities that cannot be freely resold without meeting holding-period or registration requirements
c.Guaranteed by the SEC against loss
d.Exempt from all antifraud provisions
Giải thích
Securities acquired in a private placement are restricted and cannot be freely resold to the public until they satisfy holding-period requirements or are registered. Even though registration is exempt, the antifraud provisions of federal securities law still apply.
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
- 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?
- Under Regulation D, which of the following BEST describes an accredited investor?
- 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?
- Which of the following is an example of an exempt security under the Securities Act of 1933?
- A company sells its securities only to residents of the single state in which it is incorporated and does business. Which exemption may apply?
- Which regulatory body is the primary self-regulatory organization (SRO) that oversees broker-dealers and their registered representatives in the United States?
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