Thị trường vốnCâu 353 / 398
An issuer sells commercial paper that matures in 180 days. Under the Securities Act of 1933, this short-term instrument is:
a.Required to file a full registration statement
b.Prohibited from being sold to the public
c.Exempt from registration because it is short-term corporate debt maturing in 270 days or less
d.Only available through a Regulation A offering
Giải thích
Commercial paper and other short-term corporate debt with a maturity of 270 days or less is exempt from registration under the Securities Act of 1933. This exemption allows corporations to raise short-term financing efficiently without the full registration process.
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 of the following is the primary role of the Securities and Exchange Commission (SEC)?
- The over-the-counter (OTC) market is best described as:
- A firm that maintains an inventory of a security and stands ready to buy and sell it for its own account is acting as a:
- During the cooling-off period, a registered representative may lawfully do which of the following with a prospective investor?
- The Federal Open Market Committee (FOMC) is the body within the Federal Reserve responsible for:
- An investor is concerned that rising inflation will erode the purchasing power of a bond's fixed interest payments. This concern is known as:
Cập nhật gần nhất: · quy trình kiểm tra
Đội Ngũ Biên Tập PrepPass · Đối chiếu với FINRA Securities Industry Essentials (SIE) Exam · Quy trình kiểm tra