Regulations & Conduct第 110 / 125 题
A private placement conducted under Regulation D of the Securities Act of 1933 is:
a.A public offering requiring a full prospectus
b.An exempt offering sold primarily to accredited investors without full SEC registration
c.A municipal bond offering
d.A guaranteed government security
解析
Regulation D provides exemptions from full registration for private placements sold mainly to accredited investors, with limits on general solicitation and on the number of non-accredited investors depending on the specific rule used. These securities are typically restricted and cannot be freely resold without meeting conditions.
法律依据: Securities Act of 1933免费刷完整 125 道题库 — 无需注册。
同考点相关题目
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