Securities Filed Under "Regulation D" Are

question 32

Multiple Choice

Securities filed under "Regulation D" are:

• A) not exempt from registration with the SEC.
• B) sold to accredited investors.
• C) securities of federal government.
• D) offerings of a limited size that are sold strictly intrastate. Not all public offerings of securities must be registered with the SEC. Some offerings, like those filed under a "Regulation D" exemption, are exempt because the offering is being made to a select group of individuals, called accredited investors.

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Definitions:

Tokyo Stock Exchange

A major stock market exchange in Japan, serving as a hub for the trading of stocks, bonds, and other securities.

Financial Assets

Stocks and bonds. More generally a document giving its owner a claim to certain future cash flows. Stocks base that claim on ownership (equity), while bonds base it on debt. Also called a security.

Future Cash Flows

Projected financial gains or losses for a specific period in the future.

Financial Advisors

Professionals who help individuals manage their finances by providing advice on money issues such as investments, insurance, mortgages, college savings, estate planning, taxes, and retirement.