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Baronial Company Plans to Make a Registered Offering of Its

Question 33

Multiple Choice

Baronial Company plans to make a registered offering of its preferred shares pursuant to the Securities Act of 1933.After filing a registration statement with the Securities and Exchange Commission but prior to its effective date,which of the following will violate Section 5 of the Securities Act of 1933?


A) Sending letters to 50 prospective investors noting that projected earnings are up 15 percent.
B) An oral offer at a sales meeting attended by 50 prospective investors.
C) An oral offer to sell the shares made by telephone to 50 prospective investors.
D) In-person oral offers to sell the shares to 50 prospective investors.

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