Regulations第 42 / 110 题
Registration of a securities offering with the SEC means that:
a.The issuer has filed the required disclosure and the SEC has not objected; the SEC does not approve the offering or vouch for its merits
b.The SEC has approved the offering as suitable for retail investors
c.The SEC guarantees the accuracy of the statements in the prospectus
d.The issuer's financial condition has been certified as sound by the SEC
解析
The SEC's review is a disclosure review only; it never passes on the merits of an offering and it is unlawful to tell a customer otherwise. Suggesting approval, a guarantee of accuracy, or certification of financial strength misrepresents the agency's role. Every prospectus carries a disclaimer to this effect.
法律依据: Securities Act of 1933免费刷完整 110 道题库 — 无需注册。
同考点相关题目
- The principal purpose of the Securities Act of 1933 is to:
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