Which of the Following Would NOT Be Exempt from Registration

question 25

Multiple Choice

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.

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Definitions:

Inflation

The rate at which the general level of prices for goods and services is rising, thereby eroding purchasing power.

Monthly Social Security Benefits

The payments made to eligible recipients each month by the Social Security Administration, often based on retirement or disability status.

Retirement Account

A financial account designed for saving funds specifically for the period of life when an individual stops working.

Compounded Monthly

Compounding monthly refers to the addition of interest to the principal sum of a loan or deposit, calculated on a monthly basis, which results in earning interest on interest.