Which of the Following Securities Offerings Is Not Exempt from Registration

question 64

Multiple Choice

Which of the following securities offerings is not exempt from registration prior to their sale?

• A) Securities issued to a company's board of directors.
• B) Securities issued by governments.
• C) Securities issued by banks.
• D) Securities issued by savings and loan associations.
• E) Offerings of no more than $1 million made to any number of investors within a 12-month period.

---

Definitions:

Social Characteristics

Traits that define the social aspects of individuals, including behaviors, attitudes, and how they interact with others within a social context.

Work Context Characteristics

The conditions, environment, and factors within a workplace that influence workers' behavior, attitudes, and performance.

Ergonomics

The study and design of equipment, systems, and processes to optimize human health, comfort, and performance in the workplace.

Physical Demands

Refers to the effort, strength, and endurance required for someone to perform a specific job or task.