Which of the following would NOT be exempt from registration under the 1933 Securities Act?
A) An offering restricted to the residents of the state in which the issuing company is a resident and doing business.
B) An offering by a noninvestment company issuer for $4 million in securities over 12 months without general advertising or general solicitation.
C) An offering of limited partnership tax shelters.
D) A private offering to sophisticated investors who will not redistribute them.
Correct Answer:
Verified
Q48: The 1934 Securities Exchange Act requires registration
Q49: Which of the following is not one
Q50: Securities that are exempt from registration under
Q51: _, promulgated by the SEC, provides a
Q52: Which of the following is NOT a
Q54: Effective in 2000, a plain English term
Q55: Which of the following would ordinarily NOT
Q56: The civil penalty for a person who
Q57: "Insider trading" rules pertain to:
A) tippees.
B) officers
Q58: A registration statement generally includes all of
Unlock this Answer For Free Now!
View this answer and more for free by performing one of the following actions
Scan the QR code to install the App and get 2 free unlocks
Unlock quizzes for free by uploading documents